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.
SEC-registered adviser
Sovereign Investment Advisors LLC
Latest filing Jun 4, 2026
First filing on the tape Apr 12, 2012 · 34 filings
SEC status approved since Feb 19, 2015
RAUM
$3.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.1%
$1.7M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$552M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$3.3B as of Jun 4, 2026
Apr 12, 2012$626M then
HNW client RAUM: $2.2M
State-registered IARs (5.B.3)6 as of Jun 4, 2026
Apr 12, 20120 then
Employees (5.A)8 as of Jun 4, 2026
Mar 29, 20165 then
Private funds: no history
RAUM +11% over the last fiscal year+16% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
- RAUM per advisor
- $552MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $23.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $140M, 3 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$52.9M97%
- Individuals$1.7M3.2%
- Individual clients
- 4reported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 144reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $140M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Courtney Alexander Monteiro | Phoenix, Az | May 4, 2012 | 19 y | 0 |
| Matthew Patrick Eden | Phoenix, Az | May 10, 2012 | 22 y | 0 |
| Michael Benjamin Assam | Hideout, Ut | Jan 28, 2013 | 22 y | 0 |
| Charles Victor Freemont | Portland, Or | Sep 12, 2017 | 26 y | 4 |
| Todd Coleman Early | Midolthian, Va | Sep 12, 2017 | 17 y | 3 |
| Tresten Dzatsinna Joseph | Phoenix, Az | Oct 1, 2020 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Paul Ulrich to Ulrich Investment ConsultantsJan 9, 2012 · Other
- Molly Pauli Ritz-Schalk to Ulrich Investment ConsultantsJan 9, 2012 · Other
Joined, latest
- Charles Victor Freemont from Wedbush Securities Inc.Sep 12, 2017 · Other
- Todd Coleman Early from Focus Partners Wealth, LLCSep 12, 2017 · Other
- John Paul Ulrich from Sovereign Wealth Advisors, Inc.Mar 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Dawn April Lamb · Director Of Operationscontrolsince 12/2021 · owns less than 5%
- Michael Jeffrey Lamb · Principalcontrolsince 03/2009 · owns less than 5%
- Amaral Marguerite Tavares · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
- Michael Jeffrey Lamb · Managing Membercontrolsince 11/2008 · owns 75% or more of Sovereign Finance LLC
- Coleman Todd Early · Chief Investment Officersince 07/2017 · owns less than 5%
Entity owners
- Sovereign Finance LLC · Sole Memberdirect · owns 75% or more
- Morongo Band Of Mission Indians · Investor Memberindirect · owns 25% to 50% of Sovereign Finance
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 138 to 144Nov 19, 2025 to Mar 4, 2026
- Pension plan clients · 3 to 4Nov 19, 2025 to Mar 4, 2026
- Assets in custody · $85.0M to $140MNov 19, 2025 to Mar 4, 2026
- Discretionary RAUM · $2.7B to $3.3BNov 19, 2025 to Mar 4, 2026
- Individual RAUM · $1.7M to $1.7MNov 19, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $281M to $52.9MNov 19, 2025 to Mar 4, 2026
- Pension RAUM · $43.8M to $52.9MNov 19, 2025 to Mar 4, 2026
- RAUM · $3.0B to $3.3BNov 19, 2025 to Mar 4, 2026
- Accounts · 139 to 138Jul 29, 2024 to Mar 28, 2025
- Pension plan clients · 7 to 3Jul 29, 2024 to Mar 28, 2025
- Assets in custody · $81.7M to $85.0MJul 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.3B to $2.7BJul 29, 2024 to Mar 28, 2025
- Individual RAUM · $1.5M to $1.7MJul 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $48.8M to $281MJul 29, 2024 to Mar 28, 2025
- Pension RAUM · $45.4M to $43.8MJul 29, 2024 to Mar 28, 2025
- RAUM · $2.3B to $3.0BJul 29, 2024 to Mar 28, 2025
- Accounts · 129 to 139Nov 15, 2023 to Mar 15, 2024
- Individual clients · unset to 4.0Nov 15, 2023 to Mar 15, 2024
- Assets in custody · $63.6M to $81.7MNov 15, 2023 to Mar 15, 2024
- Employees · 9 to 8Nov 15, 2023 to Mar 15, 2024
- Discretionary RAUM · $2.1B to $2.3BNov 15, 2023 to Mar 15, 2024
- Individual RAUM · $1.4M to $1.5MNov 15, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $45.5M to $48.8MNov 15, 2023 to Mar 15, 2024
- Pension RAUM · $45.5M to $45.4MNov 15, 2023 to Mar 15, 2024
- RAUM · $2.1B to $2.3BNov 15, 2023 to Mar 15, 2024
- Accounts · 111 to 129Sep 21, 2022 to Mar 17, 2023
- Pension plan clients · 6 to 7Sep 21, 2022 to Mar 17, 2023
- Assets in custody · $37.8M to $63.6MSep 21, 2022 to Mar 17, 2023
- Discretionary RAUM · $2.2B to $2.1BSep 21, 2022 to Mar 17, 2023
- Individual RAUM · $1.6M to $1.4MSep 21, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $43.5M to $45.5MSep 21, 2022 to Mar 17, 2023
- Pension RAUM · $43.5M to $45.5MSep 21, 2022 to Mar 17, 2023
- RAUM · $2.2B to $2.1BSep 21, 2022 to Mar 17, 2023
- Accounts · 104 to 111Dec 20, 2021 to Mar 25, 2022
- Advisory employees · 5 to 6Dec 20, 2021 to Mar 25, 2022
- Assets in custody · unset to 37768702.0Dec 20, 2021 to Mar 25, 2022
- Custody of client assets · false to trueDec 20, 2021 to Mar 25, 2022
- Employees · 6 to 9Dec 20, 2021 to Mar 25, 2022
- Financial planning clients · 0 to unsetDec 20, 2021 to Mar 25, 2022
Signals
6 dated events
- Sovereign Investment Advisors Llc reported RAUM $3.0B, up 28% from $2.3B (2024-07-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Sovereign Investment Advisors Llc reported RAUM $2.2B, up 31% from $1.7B (2021-12-20 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Amaral Marguerite Tavares (Chief Compliance Officer) appeared on Schedule A of Sovereign Investment Advisors LlcDec 20, 2021 · Control person joined · fact
- Sovereign Investment Advisors Llc reported RAUM $1.5B, up 93% from $772.1M (2020-06-29 to 2020-10-06)Oct 6, 2020 · RAUM change · derived
- Sovereign Investment Advisors Llc reported RAUM $772.1M, up 65% from $467.4M (2019-03-21 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- Sovereign Investment Advisors Llc filed its initial SEC registration (Form ADV)Jan 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- SOVEREIGNINVESTMENTADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-385-2850reportedpublic record, Form ADV, Jun 4, 2026
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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $552Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026