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 Wealth Advisors LLC

Independent wealth managerHouston, TexasCRD 188524SEC 801-98346websiteIAPD
Latest filing Jul 17, 2026
First filing on the tape May 21, 2015 · 21 filings
SEC status approved since Jun 11, 2015
RAUM
$625M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
83%
$521M individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$21.6M
derived; firm RAUM over IAPD count
Employees
35
35 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$625M as of Jul 17, 2026
Mar 30, 2016$119M then
HNW client RAUM$378M as of Jul 17, 2026
Mar 31, 2018$81.3M then
State-registered IARs (5.B.3)35 as of Jul 17, 2026
Mar 30, 201625 then
Employees (5.A)35 as of Jul 17, 2026
Mar 30, 201625 then
Private funds: no history
RAUM +3.0% over the last fiscal year+4.5% a year over threeIARs 30 to 35
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$21.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$926,722derivedHNW RAUM over HNW clients
Average account
$330,398derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
14.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.0%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$378M60%
  • Individuals$143M23%
  • Corporations and businesses$96.6M15%
  • Pension and profit-sharing plans$7.1M1.1%
Individual clients
844reported
HNW clients
408reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
1,892reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.83 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=35.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Matthew Quinn HolderHouston, TxJan 14, 202026 y2
Douglas Buchanan YaugerHouston, TxJan 14, 202024 y2
Russell Thomas GebhardHouston, TxJan 15, 202033 y2
Neal Alan BrittHouston, TxJan 17, 202023 y2
Frank M. SarubbiHouston, TxJan 17, 202025 y5
Jeff Alan PeskinHouston, TxJan 17, 202026 y2
Phillip Morgan EvansHouston, TxJan 17, 202030 y2
Charles Lawrence FahyHouston, TxJan 17, 202045 y2
William Lee VaseliadesHouston, TxJan 17, 202036 y4
Paul Alexander DixonHouston, TxJan 17, 202035 y4
Martin B PeskinHouston, TxJan 17, 202029 y2
Stephen John MchaleCertified Financial PlannerHouston, TxJan 17, 202029 y3
Elisia Faith PearsonHouston, TxJan 17, 202027 y2
Stephen M PettyHouston, TxJan 17, 202023 y1
Daniel Hamilton EatonHouston, TxJan 17, 202023 y3
Teresa Michele TheobaldHouston, TxJan 17, 202021 y5
David Stephen SpannCertified Financial PlannerHouston, TxJan 17, 202015 y1
Brandon Keith GayHouston, TxJan 17, 202015 y2
William Milton BevillHouston, TxJan 17, 202041 y2
Robert Edward LeeHouston, TxJan 17, 202031 y4
Paul Lawrence WobbeHouston, TxJan 17, 202040 y4
Stephen Scott BarberHouston, TxJan 24, 202023 y5
Bradley Alan BowmanHouston, TxJun 29, 202229 y4
John Allen BlairHouston, TxJul 1, 202221 y1
Rodolfo G ChoperenaHouston, Tx Sep 21, 202334 y3
Tomiko Reyelle ArthurHouston, TxNov 20, 202312 y4
Stephen Craig HallHouston, TxJun 2, 202534 y4
Walter Eugene TheobaldPorter, TxJun 5, 202542 y1
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.4% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Thomas Russell Gebhard · Chief Compliance Officer And Managing Membercontrol
    since 06/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Houston, Tx · principal2801
Offices
Schedule D 1.F, the 25 largest
  • Corpus Christi, TX3 employees
What changed
consecutive filings, newest first
  • Accounts · 1,870 to 1,892
    Apr 15, 2025 to Mar 31, 2026
  • Advisory employees · 30 to 35
    Apr 15, 2025 to Mar 31, 2026
  • BD registered reps · 30 to 35
    Apr 15, 2025 to Mar 31, 2026
  • Charity clients · 2.0 to unset
    Apr 15, 2025 to Mar 31, 2026
  • Corporate clients · 22 to 20
    Apr 15, 2025 to Mar 31, 2026
  • HNW clients · 428 to 408
    Apr 15, 2025 to Mar 31, 2026
  • Individual clients · 929 to 844
    Apr 15, 2025 to Mar 31, 2026
  • Pension plan clients · 11 to 3
    Apr 15, 2025 to Mar 31, 2026
  • Employees · 38 to 35
    Apr 15, 2025 to Mar 31, 2026
  • State-registered IARs · 30 to 35
    Apr 15, 2025 to Mar 31, 2026
  • Discretionary RAUM · $568M to $582M
    Apr 15, 2025 to Mar 31, 2026
  • HNW RAUM · $379M to $378M
    Apr 15, 2025 to Mar 31, 2026
  • Individual RAUM · $135M to $143M
    Apr 15, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $39.3M to $43.2M
    Apr 15, 2025 to Mar 31, 2026
  • Pension RAUM · $9.5M to $7.1M
    Apr 15, 2025 to Mar 31, 2026
  • RAUM · $607M to $625M
    Apr 15, 2025 to Mar 31, 2026
  • Accounts · 1,393 to 1,870
    Jun 22, 2024 to Apr 15, 2025
  • Advisory employees · 31 to 30
    Jun 22, 2024 to Apr 15, 2025
  • BD registered reps · 31 to 30
    Jun 22, 2024 to Apr 15, 2025
  • Pension plan clients · 12 to 11
    Jun 22, 2024 to Apr 15, 2025
  • Employees · 40 to 38
    Jun 22, 2024 to Apr 15, 2025
  • Financial planning clients · 26-50 to 26-50
    Jun 22, 2024 to Apr 15, 2025
  • State-registered IARs · 31 to 30
    Jun 22, 2024 to Apr 15, 2025
  • Organization form · Limited Partnership to Limited Liability Company
    Jun 22, 2024 to Apr 15, 2025
  • Discretionary RAUM · $509M to $568M
    Jun 22, 2024 to Apr 15, 2025
  • HNW RAUM · $363M to $379M
    Jun 22, 2024 to Apr 15, 2025
  • Individual RAUM · $154M to $135M
    Jun 22, 2024 to Apr 15, 2025
  • Non-discretionary RAUM · $38.1M to $39.3M
    Jun 22, 2024 to Apr 15, 2025
  • Pension RAUM · $10.0M to $9.5M
    Jun 22, 2024 to Apr 15, 2025
  • RAUM · $547M to $607M
    Jun 22, 2024 to Apr 15, 2025
  • Organization form · Corporation to Limited Partnership
    Mar 30, 2024 to Jun 22, 2024
  • Accounts · 2,146 to 1,393
    Jul 19, 2023 to Mar 30, 2024
  • Advisory employees · 30 to 31
    Jul 19, 2023 to Mar 30, 2024
  • BD registered reps · 30 to 31
    Jul 19, 2023 to Mar 30, 2024
  • Charity clients · 1 to 2
    Jul 19, 2023 to Mar 30, 2024
  • Corporate clients · unset to 22.0
    Jul 19, 2023 to Mar 30, 2024
  • HNW clients · 183 to 428
    Jul 19, 2023 to Mar 30, 2024
  • Individual clients · 195 to 929
    Jul 19, 2023 to Mar 30, 2024
  • Pension plan clients · 11 to 12
    Jul 19, 2023 to Mar 30, 2024
  • Employees · 30 to 40
    Jul 19, 2023 to Mar 30, 2024
Signals
5 dated events
  • David George Hanson left Sovereign Wealth Advisors Llc for Stratos Wealth Partners, Ltd (registered 2025-09-26)
    Aug 24, 2026 · Advisor changed firm · fact
  • Samuelson Itaborai Drumond left Sovereign Wealth Advisors Llc for Drumond Wealth Management (registered 2024-02-23)
    Nov 6, 2024 · Advisor changed firm · fact
  • Sovereign Wealth Advisors Llc reported RAUM $548.4M, up 41% from $388.3M (2022-03-31 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • Sovereign Wealth Advisors Llc reported RAUM $232.3M, up 95% from $119.0M (2017-04-02 to 2018-03-31)
    Mar 31, 2018 · RAUM change · derived
  • Sovereign Investment Group Llc filed its initial SEC registration (Form ADV)
    May 21, 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
Business phone
361-883-1363reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
361-884-0008reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
713-527-3400reportedpublished by the firm, firm site, Sep 15, 2026
Website
SOVEREIGNWEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
713-527-3400reportedpublic record, Form ADV, Jul 17, 2026
Contact form
sovereignwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page
sovereignwealthadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$21.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026