This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$176MItem 5.F on the latest filing (2026-03-10); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$176M

Private client RAUM

$176MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$88.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

2

Offices

0Schedule D 1.F, beyond the principal office

Accounts

729

Individual clients

285

High net worth clients

65

SEC number

801-112498

CRD

285103

Filings on the tape

19

First filed

Jan 24, 2018

Latest filed

Mar 10, 2026

Organised

Corporation, NY

• Occurred

  May 22, 2025
  Team lift-out

  2 advisors left Next Financial Group, Inc. (Williamsville, NY) for Sovereign Asset Management on the same day

  Form ADVobserved 6 days ago
  2 advisors
• Occurred

  Jan 24, 2018
  First Form ADV filing

  Sovereign Asset Management filed its initial SEC registration (Form ADV)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:45a16c5d-dc2a-a8ee-630d-1163114e1a83

First observed

Jan 24, 2018

Last observed

Mar 10, 2026 6 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.