# Sovereign Financial Services, LLC

> Sovereign Financial Services, LLC is a state-registered investment advisory firm in Phoenix, MD, registered since 2010, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 23, 2026.

- CRD: 153059
- Filed as: SOVEREIGN FINANCIAL SERVICES, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Phoenix, MD
- Filing period: October 2026
- Form ADV filing dated: February 23, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/153059
- AdvisorCensus page: https://advisorcensus.com/firm/sovereign-financial-services-llc-phoenix-md-153059

## Quick answers

**How is Sovereign Financial Services, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Sovereign Financial Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Sovereign Financial Services, LLC located?**
Sovereign Financial Services, LLC's principal office is in Phoenix, MD, according to its Form ADV.

**Is Sovereign Financial Services, LLC registered with the SEC or a state?**
Sovereign Financial Services, LLC is a state-registered investment advisory firm, registered since 2010. Status as filed: APPROVED. CRD 153059.

**How much does Sovereign Financial Services, LLC manage?**
Sovereign Financial Services, LLC reports $92,115,000 in regulatory assets under management in its Form ADV filing dated February 23, 2026 (100% discretionary).

**What types of clients does Sovereign Financial Services, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (115); high net worth individuals (30).

**Does Sovereign Financial Services, LLC 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/153059

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $92,115,000
- Discretionary: $92,115,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 115 | $57,000,000 |
| High net worth individuals | 30 | $35,115,000 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | Not reported | $0 |
| Other | Not reported | $0 |

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

### Firm details
- Registered since: 2010 (16 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MD, PA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sovereign Financial Services, LLC (CRD 153059): Form ADV filing data as of October 2026.