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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••••• F•••••••• G••••• I•••
Latest filing Jun 5, 2026
First filing on the tape Dec 3, 2018 · 55 filings
SEC status approved since Jan 31, 2019
RAUM
$1.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$47.1M
derived; firm RAUM over IAPD count
Employees
31
23 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$1.1B as of Jun 5, 2026
Mar 29, 2020$222M then
HNW client RAUM$769M as of Jun 5, 2026
Mar 29, 2020$162M then
State-registered IARs (5.B.3)23 as of Jun 5, 2026
Mar 29, 20205 then
Employees (5.A)31 as of Jun 5, 2026
Mar 29, 20206 then
Private funds: no history
RAUM +23% over the last fiscal year+22% a year over threeIARs 16 to 23offices 19 to 24
Practice profile
derived from the filing of Jun 5, 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
- $47.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $241,318derivedRAUM 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
- 0.9derived25 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +44%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.0B, 1,412 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$769M71%
- Individuals$295M27%
- Charitable organizations$13.8M1.3%
- Pension and profit-sharing plans$3.1M0.3%
- Corporations and businesses$2.1M0.2%
- Individual clients
- 1,006reported
- HNW clients
- 282reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 4,486reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 1,412 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• K••• K••••••••• | Herber City, Ut | Feb 1, 2019 | 30 y | 3 |
| C•••••• L• F•••••Certified Financial Planner | Stamford, Ct | Feb 1, 2019 | 31 y | 3 |
| P•••••• R••••••• H••• | Stamford, Ct | Jul 1, 2019 | 39 y | 2 |
| D•••• J••••• F•••••• | New York, Ny | Sep 11, 2019 | 25 y | 1 |
| S••••• A•••••••• M••••• | Milford, Ct | Jan 2, 2020 | 43 y | 3 |
| R••••••• T•••••• | Stamford, Ct | Apr 2, 2020 | 42 y | 1 |
| D•••• R•••• P••••••••Certified Financial Planner, Chartered Financial Consultant | Wethersfield, Ct | Oct 6, 2020 | 28 y | 5 |
| P••••••• J••• L••••••Certified Financial Planner | Stamford, Ct | Oct 16, 2020 | 35 y | 2 |
| J••• C•••••••• D••• | Hudson, Ny | Jan 22, 2021 | 30 y | 1 |
| D•••• R•••••• W•••Certified Financial Planner | Saratoga Springs, Ny | Oct 1, 2021 | 37 y | 1 |
| B••••• L••••• Y•••• | Minneola, Fl | Oct 14, 2022 | 33 y | 2 |
| M•••• W••••• B••••Certified Financial Planner | S••••Town, Ny | Oct 20, 2022 | 17 y | 1 |
| B••••••• J••• R•••••Certified Financial Planner | Stamford, Ct | Mar 17, 2023 | 14 y | 1 |
| R••••• C•••••• C•••••••• | Stuart, Va | Jun 6, 2023 | 10 y | 2 |
| J••• R•••••• B••••Chartered Financial Consultant | Wilmington, De | Jul 7, 2023 | 28 y | 3 |
| B•••• B•••• P•••• | Stamford, Ct | Jan 2, 2024 | 44 y | 2 |
| N••••••• D••••• T••••• | Stamford, Ct | Apr 29, 2025 | 13 y | 1 |
| M•••••• J•••• F••••••• | Stamford, Ct | Jun 3, 2025 | 10 y | 1 |
| C•••• J• S••••Certified Financial Planner | S••••Sdale, Az | Jun 4, 2025 | 15 y | 2 |
| D••••• C••• P•••••• | Stamford, Ct | Oct 31, 2025 | 20 y | 3 |
| C••••••• W•••••• | Stamford, Ct | Nov 24, 2025 | 35 y | 0 |
| J••••• W• B•••••• | Stamford, Ct | Jan 5, 2026 | 10 y | 0 |
| T••••• A•••• G••••••• | Novi, Mi | Jan 26, 2026 | 25 y | 6 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R••• P•••••• A•••• to P••••••••• C•••••• A•••••••Jan 16, 2024 · RIA to RIA
- A••••• Z••• to N••••••••• M••••• I••••••••• S•••••••••Aug 23, 2023 · Other
- H•••••• J••• C••••• to A••••••••• F•••••••• S•••••••• L••Nov 18, 2022 · RIA to affiliated broker-dealer or bank
- V••• C••••••• H••••• to I••••••••• A•••••• A•••••••• L••Aug 23, 2021 · RIA to RIA
Joined, latest
- T••••• A•••• G••••••• from G•••• L•••• W•••••• L••Jan 26, 2026 · RIA to RIA
- D••••• C••• P•••••• from L•• F•••••••• L••Oct 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••• J• S•••• from M••••• G••••• A••••••• I•••Jun 4, 2025 · RIA to RIA
- M•••••• J•••• F••••••• from L•• F•••••••• L••Jun 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- N••••••• D••••• T••••• from C• A••••••• S•••••••Apr 29, 2025 · RIA to RIA
- B•••• B•••• P•••• from G•••• L•••• W•••••• L••Jan 2, 2024 · RIA to RIA
- R••• P•••••• A•••• from C••••• F•••••••• P•••••••• L••Jul 25, 2023 · RIA to RIA
- J••• R•••••• B•••• from J••••• M••••••••• S•••• L••Jul 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- R••••• C•••••• C•••••••• from C••••••••• W••••• A•••••••• L••Jun 6, 2023 · RIA to RIA
- B••••••• J••• R••••• from A••••••••• W••••• A••••••• L••Mar 17, 2023 · RIA to RIA
- M•••• W••••• B•••• from P••• A••••• S••••••••• L••Oct 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- B••••• L••••• Y•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• Z••• from C••• L••Feb 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••• R•••••• W••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- H•••••• J••• C••••• from A••••••••• F•••••••• S•••••••• L••Jul 8, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2018 · Stamford, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• C•••••• · Managing Membercontrolsince 07/2003 · owns 75% or more
- H••••••••• D•••••• B•••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- M••••••• C••••••••• M•••••• · Chief Compliance Officersince 06/2025 · owns less than 5%
- T•••••• N•••••••• D••••• · Head Of Operationssince 04/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 20 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saratoga Springs, NY1 employees
- Milford, CT1 employees
- , 1 employees
- Colorado Springs, CO1 employees
- Wethersfield, CT1 employees
- Wyomissing, PA1 employees
- New York, NY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 5, 2026H••••••••• D•••••• B•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-04-12 and 2026-06-05peers: WEALTH_I•••••••••, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,304 to 4,486Feb 25, 2026 to Mar 25, 2026
- Advisory employees · 17 to 23Feb 25, 2026 to Mar 25, 2026
- Charity clients · 8 to 12Feb 25, 2026 to Mar 25, 2026
- Corporate clients · 6 to 12Feb 25, 2026 to Mar 25, 2026
- HNW clients · 326 to 282Feb 25, 2026 to Mar 25, 2026
- Individual clients · 901 to 1,006Feb 25, 2026 to Mar 25, 2026
- Pension plan clients · 5.0 to unsetFeb 25, 2026 to Mar 25, 2026
- Assets in custody · unset to 1045000000.0Feb 25, 2026 to Mar 25, 2026
- Custody of client assets · false to trueFeb 25, 2026 to Mar 25, 2026
- Employees · 26 to 31Feb 25, 2026 to Mar 25, 2026
- State-registered IARs · 17 to 23Feb 25, 2026 to Mar 25, 2026
- Other offices · 22 to 24Feb 25, 2026 to Mar 25, 2026
- Discretionary RAUM · $850M to $1.1BFeb 25, 2026 to Mar 25, 2026
- HNW RAUM · $626M to $769MFeb 25, 2026 to Mar 25, 2026
- Individual RAUM · $232M to $295MFeb 25, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $32.5M to $18.3MFeb 25, 2026 to Mar 25, 2026
- Pension RAUM · $6.2M to $3.1MFeb 25, 2026 to Mar 25, 2026
- RAUM · $883M to $1.1BFeb 25, 2026 to Mar 25, 2026
- Other offices · 21 to 22Aug 5, 2025 to Oct 31, 2025
- Advisory employees · 16 to 17Apr 30, 2025 to Jun 18, 2025
- Employees · 24 to 26Apr 30, 2025 to Jun 18, 2025
- Financial planning clients · 1-10 to 1-10Apr 30, 2025 to Jun 18, 2025
- State-registered IARs · 16 to 17Apr 30, 2025 to Jun 18, 2025
- Other offices · 19 to 21Apr 30, 2025 to Jun 18, 2025
- Accounts · 2,998 to 3,304Feb 6, 2025 to Apr 30, 2025
- Charity clients · unset to 8.0Feb 6, 2025 to Apr 30, 2025
- Corporate clients · 7 to 6Feb 6, 2025 to Apr 30, 2025
- HNW clients · 190 to 326Feb 6, 2025 to Apr 30, 2025
- Individual clients · 948 to 901Feb 6, 2025 to Apr 30, 2025
- Pension plan clients · unset to 5.0Feb 6, 2025 to Apr 30, 2025
- Discretionary RAUM · $689M to $850MFeb 6, 2025 to Apr 30, 2025
- HNW RAUM · $437M to $626MFeb 6, 2025 to Apr 30, 2025
- Individual RAUM · $258M to $232MFeb 6, 2025 to Apr 30, 2025
- Non-discretionary RAUM · $28.3M to $32.5MFeb 6, 2025 to Apr 30, 2025
- Pension RAUM · $5.6M to $6.2MFeb 6, 2025 to Apr 30, 2025
- RAUM · $717M to $883MFeb 6, 2025 to Apr 30, 2025
- Advisory activities · 3 to 4Oct 11, 2024 to Nov 6, 2024
- Other offices · 18 to 19Oct 11, 2024 to Nov 6, 2024
- Accounts · 2,525 to 2,998Jan 9, 2024 to Mar 12, 2024
- Advisory employees · 15 to 16Jan 9, 2024 to Mar 12, 2024
Signals
6 dated events
- Bowen Deanna Hutchinson (Chief Compliance Officer) appeared on Schedule A of S•••••••• F•••••••• G••••• I•••Apr 12, 2024 · Control person joined · fact
- R••• P•••••• A•••• left S•••••••• F•••••••• G••••• I••• for P••••••••• C•••••• A••••••• (registered 2025-12-22)Jan 16, 2024 · a•••••• firm change · fact
- A••••• Z••• left S•••••••• F•••••••• G••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-09-18)Aug 23, 2023 · a•••••• firm change · fact
- H•••••• J••• C••••• left S•••••••• F•••••••• G••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-11-23)Nov 18, 2022 · a•••••• firm change · fact
- S•••••••• F•••••••• G••••• I••• reported RAUM $482.7M, up 79% from $269.0M (2021-01-15 to 2021-02-11)Feb 11, 2021 · RAUM change · derived
- S•••••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Dec 3, 2018 · 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
- 212-922-1402reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 917-789-8011reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/sovereign-financial-group-increportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/venture-stone-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sovereignadvisorsolutions.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (888) 765-8180reportedpublic record, Form ADV, Jun 5, 2026
- Contact form
- sovereignadvisorsolutions.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $47.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026