SOVEREIGN FINANCIAL GROUP, INC.
Latest filing: Apr 30, 2025 (28 days ago)
AUM
$882,702,145
23% change vs. 1 year ago
50% change vs. 3 years ago
298% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
24
0% change vs. 1 year ago
41% change vs. 3 years ago
300% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
STAMFORD, CT
35 WEST BROAD STREET, STAMFORD, CT, UNITED STATES, 06902
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.9 |
| Non-Discretionary | $0.0 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.9 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 901 | $0.2 |
| Average Individual AUM | $257,733 | |
| HNW | 326 | $0.6 |
| Average HNW AUM | $1,920,617 | |
| Retail Total | 1,227 | $0.9 |
| Average Retail AUM | $699,543 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | ST. PETERSBURG-FL-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.9 |
| Retail SMA AUM | $0.9 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 54% | $0.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 25% | $0.2 |
| Other Pools | 0% | $0.0 |
| Cash | 15% | $0.1 |
| Other | 3% | $0.0 |
| Total | 100% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
Representatives
16 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DAVID PRIMOZICH | STAMFORD | CT | S63|1997-10-06|S65|1998-06-29 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| PATRICIA LUDGATE | STAMFORD | CT | S63|2004-01-30|S66|2013-09-06 | CERTIFIED FINANCIAL PLANNER | |||||
| STEVEN MASSEY | STAMFORD | CT | S63|1998-09-01 | ||||||
| PRATHER HILL | STAMFORD | CT | S63|1987-07-15|S66|2007-09-15 | ||||||
| JOHN DADY | STAMFORD | CT | S63|1996-08-26|S65|2021-10-28 | ||||||
| MYLES BOEGE | STAMFORD | CT | S63|2008-12-11|S65|2018-08-15 | CERTIFIED FINANCIAL PLANNER | |||||
| CHARLES FAILLA | STAMFORD | CT | S63|1995-07-06|S65|1999-12-27 | CERTIFIED FINANCIAL PLANNER | |||||
| BARTON YOUNG | STAMFORD | CT | S63|1993-05-28|S65|1993-07-22 | ||||||
| DAVID WREN | STAMFORD | CT | S63|1989-02-13|S65|1996-03-12 | CERTIFIED FINANCIAL PLANNER | |||||
| ROSEMARY TAVERNA | STAMFORD | CT | S63|1984-06-13|S65|2017-03-01 | ||||||
| ROBERT CHEDESTER | STAMFORD | CT | S66|2016-07-05 | ||||||
| BRITTANY ROGERS | STAMFORD | CT | S65|2018-02-19 | ||||||
| DAVID FELDMAN | STAMFORD | CT | S65|2018-10-16 | ||||||
| JOHN KOCHERSPERGER | STAMFORD | CT | S63|1996-05-23|S65|1996-05-31 | ||||||
| BRUCE PALEN | STAMFORD | CT | S63|1982-02-26|S65|2010-08-26 | ||||||
| JOHN BUONI | STAMFORD | CT | S66|1997-11-25 | CHARTERED FINANCIAL CONSULTANT | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.9 | $0.0 | 0% | 24 | 0 | 0% |
| 2025-04-21 | $0.9 | $0.0 | 0% | 24 | 0 | 0% |
| 2024-04-02 | $0.7 | $0.2 | 23% | 24 | 0 | 0% |
| 2023-04-04 | $0.6 | $0.3 | 47% | 21 | 3 | 14% |
| 2022-04-01 | $0.6 | $0.3 | 50% | 17 | 7 | 41% |
| 2021-04-05 | $0.5 | $0.4 | 83% | 13 | 11 | 85% |
| 2020-04-01 | $0.2 | $0.7 | 298% | 6 | 18 | 300% |
| 2019-04-01 | $0.0 | $0.0 | 0% | 3 | 21 | 700% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, AZ-05/22/2024, CA-10/23/2020, CO-03/17/2023, CT-02/01/2019, DE-10/19/2023, FL-02/01/2019, GA-01/15/2021, IL-04/18/2024, LA-05/28/2021, MA-10/23/2020, MD-02/21/2022, ME-01/15/2021, MI-11/17/2023, NC-02/21/2022, NE-02/02/2022, NH-05/28/2021, NJ-03/13/2019, NY-02/01/2019, OH-10/11/2024, PA-07/01/2019, RI-04/18/2024, SC-03/24/2025, TX-02/01/2019, UT-01/03/2024, VA-06/05/2023, WA-11/17/2023 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV