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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

SOVEREIGN INVESTMENT ADVISORS LLC

CRD 149040

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7d9cc01b-2498-66e4-6399-6c698280e485

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 6
On other graphs: 0
Observed: Apr 12, 2012 to Jun 4, 2026
34 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.3BItem 5.F on the latest filing (2026-06-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.3B
Private client RAUM: $1.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $552Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 144
Individual clients: 4
Custody, client assets: $140M
SEC number: 801-80942
CIK: 1908165
CRD: 149040
Filings on the tape: 34
First filed: Apr 12, 2012
Latest filed: Jun 4, 2026
Organised: Limited Liability Company, AZ
Website: sovereigninvestmentadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
COURTNEY ALEXANDER MONTEIRO	n/a	PHOENIX, AZ	14	19	n/a	no
MATTHEW PATRICK EDEN	n/a	PHOENIX, AZ	14	22	n/a	no
MICHAEL BENJAMIN ASSAM	n/a	HIDEOUT, UT \| PHOENIX, AZ	13	22	n/a	no
CHARLES VICTOR FREEMONT	n/a	Portland, OR \| PHOENIX, AZ	9	26	4	no
TODD COLEMAN EARLY	n/a	MIDOLTHIAN, VA \| PHOENIX, AZ	9	17	3	no
TRESTEN DZATSINNA JOSEPH	n/a	PHOENIX, AZ \| Tempe, AZ	5	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LAMB, APRIL, DAWN	DIRECTOR OF OPERATIONS	Na	yes	12/2021	Apr 12, 2012	Jul 29, 2024
LAMB, JEFFREY, MICHAEL	Principal	Na	yes	03/2009	Apr 12, 2012	Jul 29, 2024
LAMB, JEFFREY, MICHAEL	MANAGING MEMBER	E	yes	11/2008	Apr 12, 2012	Jul 29, 2024
SOVEREIGN FINANCE LLC	SOLE MEMBER	E	yes	11/2008	Apr 12, 2012	Jul 29, 2024
TAVARES, MARGUERITE, AMARAL	CHIEF COMPLIANCE OFFICER	Na	yes	12/2021	Dec 20, 2021	Jul 29, 2024
EARLY, TODD, COLEMAN	CHIEF INVESTMENT OFFICER	Na	no	07/2017	Mar 17, 2023	Jul 29, 2024
MORONGO BAND OF MISSION INDIANS	INVESTOR MEMBER	C	no	09/2009	Apr 12, 2012	Jul 29, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 4, 2026	$3.3B	$3.3B	8	6	0	n/a	n/a
2024	Mar 28, 2025	$3.0B	$2.7B	8	6	0	n/a	n/a
2023	Mar 15, 2024	$2.3B	$2.3B	8	6	0	n/a	n/a
2022	Mar 17, 2023	$2.1B	$2.1B	9	6	0	n/a	n/a
2021	Mar 25, 2022	$2.2B	$2.2B	9	6	0	n/a	n/a
2020	Mar 23, 2021	$1.7B	$1.6B	6	5	0	n/a	n/a
2019	Mar 23, 2020	$772M	$772M	6	5	0	n/a	n/a
2018	Mar 21, 2019	$467M	$467M	6	5	1	n/a	n/a
2017	Mar 14, 2018	$424M	$220M	6	3	1	n/a	n/a
2016	Mar 30, 2017	$375M	$178M	4	3	n/a	n/a	n/a
2015	Mar 29, 2016	$219M	$30.4M	5	3	n/a	n/a	n/a
2011	Apr 12, 2012	$626M	$84.3M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.3B	$3.0B	10.8%	$2.1B	16.4%	8	8	0	0

Relationships

Registered with (8)

← TRESTEN DZATSINNA JOSEPHAdvisorregistration: current employment
Oct 1, 2020 to presentfactForm ADV
← CHARLES VICTOR FREEMONTAdvisorregistration: current employment
Sep 12, 2017 to presentfactForm ADV
← TODD COLEMAN EARLYAdvisorregistration: current employment
Sep 12, 2017 to presentfactForm ADV
← MICHAEL BENJAMIN ASSAMAdvisorregistration: current employment
Jan 28, 2013 to presentfactForm ADV
← MATTHEW PATRICK EDENAdvisorregistration: current employment
May 10, 2012 to presentfactForm ADV
← COURTNEY ALEXANDER MONTEIROAdvisorregistration: current employment
May 4, 2012 to presentfactForm ADV
← JOHN PAUL ULRICHAdvisorregistration: previous registration
Mar 2, 2009 to Jan 9, 2012factForm ADV
← MOLLY PAULI RITZ-SCHALKAdvisorregistration: previous registration
Nov 15, 2011 to Jan 9, 2012factForm ADV

Controls (4)

← LAMB, JEFFREY, MICHAELOwnerMANAGING MEMBER, ownership code E, individual
Apr 12, 2012 to Jul 29, 2024factForm ADV
← LAMB, APRIL, DAWNOwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Apr 12, 2012 to Jul 29, 2024factForm ADV
← TAVARES, MARGUERITE, AMARALOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2021 to Jul 29, 2024factForm ADV
← SOVEREIGN FINANCE LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Apr 12, 2012 to Jul 29, 2024factForm ADV

Owns (2)

← EARLY, TODD, COLEMANOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 17, 2023 to Jul 29, 2024factForm ADV
← MORONGO BAND OF MISSION INDIANSOwnerINVESTOR MEMBER, ownership code C, domestic entity
Apr 12, 2012 to Jul 29, 2024factForm ADV

Dated events

Occurred
Mar 28, 2025
Regulatory AUM changed
Sovereign Investment Advisors Llc reported RAUM $3.0B, up 28% from $2.3B (2024-07-29 to 2025-03-28)
Form ADVobserved 6 days ago
$663M
Occurred
Mar 25, 2022
Regulatory AUM changed
Sovereign Investment Advisors Llc reported RAUM $2.2B, up 31% from $1.7B (2021-12-20 to 2022-03-25)
Form ADVobserved 6 days ago
$525M
Occurred
Dec 20, 2021
Control person joined
Amaral Marguerite Tavares (Chief Compliance Officer) appeared on Schedule A of Sovereign Investment Advisors Llc
Form ADVobserved 6 days ago
Occurred
Oct 6, 2020
Regulatory AUM changed
Sovereign Investment Advisors Llc reported RAUM $1.5B, up 93% from $772.1M (2020-06-29 to 2020-10-06)
Form ADVobserved 6 days ago
$722M
Occurred
Mar 23, 2020
Regulatory AUM changed
Sovereign Investment Advisors Llc reported RAUM $772.1M, up 65% from $467.4M (2019-03-21 to 2020-03-23)
Form ADVobserved 6 days ago
$305M
Occurred
Jan 30, 2015
First Form ADV filing
Sovereign Investment Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d9cc01b-2498-66e4-6399-6c698280e485
First observed: Apr 12, 2012
Last observed: Jun 4, 2026 3 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.

SOVEREIGN INVESTMENT ADVISORS LLC

CRD 149040

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7d9cc01b-2498-66e4-6399-6c698280e485

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:49 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

COURTNEY ALEXANDER MONTEIRO

n/a

PHOENIX, AZ

n/a

MATTHEW PATRICK EDEN

n/a

PHOENIX, AZ

n/a

MICHAEL BENJAMIN ASSAM

n/a

HIDEOUT, UT | PHOENIX, AZ

n/a

CHARLES VICTOR FREEMONT

n/a

Portland, OR | PHOENIX, AZ

TODD COLEMAN EARLY

n/a

MIDOLTHIAN, VA | PHOENIX, AZ

TRESTEN DZATSINNA JOSEPH

n/a

PHOENIX, AZ | Tempe, AZ

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAMB, APRIL, DAWN

DIRECTOR OF OPERATIONS

yes

12/2021

Apr 12, 2012

Jul 29, 2024

LAMB, JEFFREY, MICHAEL

Principal

yes

03/2009

Apr 12, 2012

Jul 29, 2024

LAMB, JEFFREY, MICHAEL

MANAGING MEMBER

yes

11/2008

Apr 12, 2012

Jul 29, 2024

SOVEREIGN FINANCE LLC

SOLE MEMBER

yes

11/2008

Apr 12, 2012

Jul 29, 2024

TAVARES, MARGUERITE, AMARAL

CHIEF COMPLIANCE OFFICER

yes

12/2021

Dec 20, 2021

Jul 29, 2024

EARLY, TODD, COLEMAN

CHIEF INVESTMENT OFFICER

07/2017

Mar 17, 2023

Jul 29, 2024

MORONGO BAND OF MISSION INDIANS

INVESTOR MEMBER

09/2009

Apr 12, 2012

Jul 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 4, 2026

$3.3B

n/a

2024

Mar 28, 2025

$3.0B

$2.7B

n/a

2023

Mar 15, 2024

$2.3B

n/a

2022

Mar 17, 2023

$2.1B

n/a

2021

Mar 25, 2022

$2.2B

n/a

2020

Mar 23, 2021

$1.7B

$1.6B

n/a

2019

Mar 23, 2020

$772M

n/a

2018

Mar 21, 2019

$467M

n/a

2017

Mar 14, 2018

$424M

$220M

n/a

2016

Mar 30, 2017

$375M

$178M

n/a

2015

Mar 29, 2016

$219M

$30.4M

n/a

2011

Apr 12, 2012

$626M

$84.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.3B

$3.0B

10.8%

$2.1B

16.4%