# Sovereign Financial Group

> Sovereign Financial Group is a state-registered investment advisory firm in Raleigh, NC, registered since 2005, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 2, 2026.

- CRD: 137145
- Filed as: SOVEREIGN FINANCIAL GROUP
- Legal name: Sovereign Financial Group, Inc.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Raleigh, NC
- Filing period: October 2026
- Form ADV filing dated: March 2, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/137145
- AdvisorCensus page: https://advisorcensus.com/firm/sovereign-financial-group-raleigh-nc-137145

## Quick answers

**How is Sovereign Financial Group compensated?**
On its Form ADV (Item 5.E, October 2026), Sovereign Financial Group reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Sovereign Financial Group located?**
Sovereign Financial Group's principal office is in Raleigh, NC, according to its Form ADV.

**Is Sovereign Financial Group registered with the SEC or a state?**
Sovereign Financial Group is a state-registered investment advisory firm, registered since 2005. Status as filed: APPROVED. CRD 137145.

**How much does Sovereign Financial Group manage?**
Sovereign Financial Group reports $46,746,604 in regulatory assets under management in its Form ADV filing dated March 2, 2026 (100% discretionary).

**What types of clients does Sovereign Financial Group serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (26); high net worth individuals (25).

**Does Sovereign Financial Group report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/137145

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $46,746,604
- Discretionary: $46,746,604
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 26 | $9,723,606 |
| High net worth individuals | 25 | $37,022,998 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2005 (20 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: NC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sovereignfinancialinc.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sovereign Financial Group (CRD 137145): Form ADV filing data as of October 2026.