SOVEREIGN ASSET MANAGEMENT
THE MONEY MEN, INC. Legal Name
Adviser information for SOVEREIGN ASSET MANAGEMENT last updated from Form ADV on February 2nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 653 | $125.0M |
| Non-Discretionary | 0 | $0 |
| Total | 653 | $125.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 301 | $81.7M |
| HNW Individuals | 26 | $43.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112498 |
|---|---|
| SEC ERA File Number | 801-112498 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285103 |
| Legal Entity Identifier | None |
Principal Office
4043 MAPLE ROAD, SUITE 210 AAMHERST
NY
United States
Monday - Friday, 9 - 5
Tel: (716) 768-1463, Fax: None
Chief Compliance Officer
DAVID UNGARO
CO-PRESIDENT
4043 MAPLE ROAD
SUITE 210 A
AMHERST
NY
United States
Tel:
716-768-1463
Fax:
888-589-0606
D******@****************M
(Full email address available in API data)
Regulatory Contact
KEN WOLF
CO-PRESIDENT
4043 MAPLE ROAD
SUITE 210 A
AMHERST
NY
United States
Tel:
7167681463
Fax:
888-589-0606
K****@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UNGARO, DAVID, JOSEPH | Individual | – | CO-PRESIDENT, CHIEF COMPLIANCE OFFICER | 01/2010 | 50-75% |
| WOLF, KENNETH, WILLIAM | Individual | – | CO-PRESIDENT | 01/2010 | 50-75% |