DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Sovereign Wealth Advisors, Inc.

Former SEC-registered adviserBellevue, WashingtonCRD 140639SEC 801-66839IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 12, 2012 · 16 filings
RAUM
$339M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
93%
$316M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$339M as of Mar 31, 2022
Mar 12, 2012$124M then
HNW client RAUM$278M as of Mar 31, 2022
Mar 28, 2018$177M then
State-registered IARs (5.B.3)3 as of Mar 31, 2022
Mar 12, 20120 then
Employees (5.A)5 as of Mar 31, 2022
Mar 20, 20136 then
Private funds: no history
RAUM +21% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
106derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$393,285derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$278M82%
  • Individuals$37.6M11%
  • Pension and profit-sharing plans$12.5M3.7%
  • Banks and thrifts$10.3M3.0%
  • Corporations and businesses$130,8380.0%
Individual clients
149reported
HNW clients
170reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
861reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Esther Tara Johnson · Investment Adviser Representative, Ownercontrol
      since 01/2020 · owns 25% to 50%
    • Sharon Lailey · Director Of Business Ops & Ccocontrol
      since 01/2011 · owns 25% to 50%
    • Allen Scott Sheffield · President, Ownercontrol
      since 12/2009 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 697 to 861
      Dec 9, 2021 to Mar 31, 2022
    • HNW clients · 148 to 170
      Dec 9, 2021 to Mar 31, 2022
    • Individual clients · 140 to 149
      Dec 9, 2021 to Mar 31, 2022
    • Pension plan clients · 6 to 5
      Dec 9, 2021 to Mar 31, 2022
    • Employees · 4 to 5
      Dec 9, 2021 to Mar 31, 2022
    • Discretionary RAUM · $239M to $295M
      Dec 9, 2021 to Mar 31, 2022
    • HNW RAUM · $220M to $278M
      Dec 9, 2021 to Mar 31, 2022
    • Individual RAUM · $36.0M to $37.6M
      Dec 9, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $40.8M to $43.6M
      Dec 9, 2021 to Mar 31, 2022
    • Pension RAUM · $10.8M to $12.5M
      Dec 9, 2021 to Mar 31, 2022
    • RAUM · $280M to $339M
      Dec 9, 2021 to Mar 31, 2022
    • Accounts · 635 to 697
      Mar 11, 2021 to Mar 31, 2021
    • HNW clients · 125 to 148
      Mar 11, 2021 to Mar 31, 2021
    • Individual clients · 142 to 140
      Mar 11, 2021 to Mar 31, 2021
    • Pension plan clients · unset to 6.0
      Mar 11, 2021 to Mar 31, 2021
    • Financial planning clients · 26-50 to 1-10
      Mar 11, 2021 to Mar 31, 2021
    • State-registered IARs · 0 to 3
      Mar 11, 2021 to Mar 31, 2021
    • Discretionary RAUM · $196M to $239M
      Mar 11, 2021 to Mar 31, 2021
    • HNW RAUM · $179M to $220M
      Mar 11, 2021 to Mar 31, 2021
    • Individual RAUM · $31.9M to $36.0M
      Mar 11, 2021 to Mar 31, 2021
    • Non-discretionary RAUM · $33.5M to $40.8M
      Mar 11, 2021 to Mar 31, 2021
    • Pension RAUM · $8.2M to $10.8M
      Mar 11, 2021 to Mar 31, 2021
    • RAUM · $230M to $280M
      Mar 11, 2021 to Mar 31, 2021
    • Accounts · 670 to 635
      Mar 31, 2019 to Mar 30, 2020
    • HNW clients · 120 to 125
      Mar 31, 2019 to Mar 30, 2020
    • Individual clients · 160 to 142
      Mar 31, 2019 to Mar 30, 2020
    • Pension plan clients · 5.0 to unset
      Mar 31, 2019 to Mar 30, 2020
    • Discretionary RAUM · $170M to $196M
      Mar 31, 2019 to Mar 30, 2020
    • HNW RAUM · $149M to $179M
      Mar 31, 2019 to Mar 30, 2020
    • Individual RAUM · $31.6M to $31.9M
      Mar 31, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $18.8M to $33.5M
      Mar 31, 2019 to Mar 30, 2020
    • Pension RAUM · $7.7M to $8.2M
      Mar 31, 2019 to Mar 30, 2020
    • RAUM · $189M to $230M
      Mar 31, 2019 to Mar 30, 2020
    • Accounts · 650 to 670
      Mar 28, 2018 to Mar 31, 2019
    • HNW clients · 113 to 120
      Mar 28, 2018 to Mar 31, 2019
    • Individual clients · 161 to 160
      Mar 28, 2018 to Mar 31, 2019
    • Pension plan clients · 6 to 5
      Mar 28, 2018 to Mar 31, 2019
    • Employees · 5 to 4
      Mar 28, 2018 to Mar 31, 2019
    • Financial planning clients · 1-10 to 26-50
      Mar 28, 2018 to Mar 31, 2019
    • Discretionary RAUM · $200M to $170M
      Mar 28, 2018 to Mar 31, 2019
    Signals
    5 dated events
    • Sharon Lailey left Sovereign Wealth Advisors, Inc. for Hightower Advisors, Llc (registered 2022-12-09)
      Dec 20, 2022 · Advisor changed firm · fact
    • Scott Allen Sheffield left Sovereign Wealth Advisors, Inc. for Hightower Advisors, Llc (registered 2022-12-09)
      Dec 20, 2022 · Advisor changed firm · fact
    • Tara Johnson left Sovereign Wealth Advisors, Inc. for Hightower Advisors, Llc (registered 2022-12-09)
      Dec 20, 2022 · Advisor changed firm · fact
    • Sovereign Wealth Advisors, Inc.'s advisors moved to Hightower Advisors, LLC (Bellevue, WA): 3 of 3 registered, on the same day
      Dec 20, 2022 · Firm absorbed (people side) · derived
    • Esther Tara Johnson (Investment Adviser Representative, Owner) appeared on Schedule A of Sovereign Wealth Advisors, Inc.
      Mar 31, 2021 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026