Sovereign Financial Group, Inc.
● SEC registered since 2019CRD 294314SEC# 801-114529Stamford, CT
Reg. AUM
$1.08B
Employees
31
Accounts
4,486
Location
Stamford, CT
Sovereign Financial Group, Inc. assets under management
Sovereign Financial Group, Inc. operates as an SEC-registered investment adviser based in Stamford, CT. The firm has been registered since 2019. It reports $1.1 billion in regulatory assets under management and employs 31 people.
Sovereign Financial Group, Inc. owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Charles Failla Control | Managing Member | Over 75% | 2003 |
| Christopher Michael Mortara | Chief Compliance Officer | Under 5% | 2025 |
| Nicholas Donald Thiede | Head Of Operations | Under 5% | 2025 |
Frequently asked questions
How much does Sovereign Financial Group, Inc. manage?
Sovereign Financial Group, Inc. reports $1.1 billion in regulatory assets under management on its Form ADV.
How many employees does Sovereign Financial Group, Inc. have?
Sovereign Financial Group, Inc. reports 31 employees.
Where is Sovereign Financial Group, Inc. located?
Sovereign Financial Group, Inc. is based in Stamford, CT and has been SEC-registered since 2019.
Does Sovereign Financial Group, Inc. disclose fund performance?
Sovereign Financial Group, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 35 West Broad Street, Suite 100, Stamford, CT 06902 |
| Phone | (888) 765-8180 |
| Fax | (888) 765-8195 |
| Office hours | By Appointment Only |
| SEC region | Boston Regional Office (BRO) |
| CIK | 1846175 |
| Discloses disciplinary history | No |
Regulatory AUM
$1.08B▲ 51%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 32%
Larger than 68% of 16,271 advisers
EmployeesTop 17%
More than 83% of 16,825 advisers
Assets under management
$1.08Bregulatory AUM
Discretionary $1.06BNon-discretionary $18.3M