DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SOVEREIGN PRIVATE WEALTH, INC.

CRD 151419

CLEARWATER, FL

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:f4f5f8dd-1840-4227-ae4e-0db88329d17b

Data as of Aug 22, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Aug 22, 2012
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $31.2MItem 5.F on the latest filing (2012-08-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $24.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 199
SEC number: 801-70589
CRD: 151419
Filings on the tape: 6
First filed: Mar 29, 2012
Latest filed: Aug 22, 2012
Organised: Corporation, Florida

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
ADAMS, GREGORY, JAMES	CHIEF EXECUTIVE OFFICER	E	yes	07/2009	Mar 29, 2012	Aug 22, 2012

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
2011	Mar 29, 2012	$31.2M	$24.5M	n/a	n/a	n/a	n/a	n/a

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
2011	$31.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← ADAMS, GREGORY, JAMESOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4f5f8dd-1840-4227-ae4e-0db88329d17b
First observed: Mar 29, 2012
Last observed: Aug 22, 2012 171 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 PRIVATE WEALTH, INC.

CRD 151419

CLEARWATER, FL

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:f4f5f8dd-1840-4227-ae4e-0db88329d17b

Data as of Aug 22, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADAMS, GREGORY, JAMES

CHIEF EXECUTIVE OFFICER

yes

07/2009

Mar 29, 2012

Aug 22, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

$31.2M

$24.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$31.2M

n/a