Hedge Fund Database

SOVEREIGN FINANCIAL GROUP, INC.

Adviser information for SOVEREIGN FINANCIAL GROUP, INC. last updated from Form ADV on March 12th, 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 Connecticut, United States

Employees

Total Number of Employees 24
Investment Advisory/Research 16
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 16
Licensed Agents of an Insurance Company 12
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,949 $688.6M
Non-Discretionary 49 $28.3M
Total 2,998 $716.9M

Clients

Type Number RAUM
Individuals 948 $258.5M
HNW Individuals 190 $437.0M
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 <5 $5.6M
Charitable organizations <5 $11.3M
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 7 $4.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 56
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-114529
SEC ERA File Number 801-114529
SEC CIK Numbers 1846175
SEC CRD Numbers 294314
Legal Entity Identifier None

Principal Office

35 WEST BROAD STREET
SUITE 100
STAMFORD
CT
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (888) 765-8180, Fax: (888) 765-8195

Websites

twitter.com/sf_group_inc www.sfgroupinc.com www.instagram.com/sovereign_financial_group/ www.massey.financial www.facebook.com/sfgroupinc www.linkedin.com/company/sovereign-financial-group-inc/ www.youtube.com/channel/ucd0pjmlgxjqjznypben_gnq www.stonearchwealth.com/ www.sovereignadvisorsolutions.com/ chedesterfinancial.com

Chief Compliance Officer

JOHN KARL KOCHERSPERGER
1491 W. SKYRIDGE DRIVE
MAYFLOWER MOUNTAIN
UT
United States
Tel: (203) 883-6006
(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
FAILLA, CHARLES Individual – MANAGING MEMBER 07/2003 > 75%
KOCHERSPERGER, JOHN, KARL Individual – CHIEF COMPLIANCE OFFICER 12/2018 < 5%

No. Employees, Historic

3015020192020202120222023202420253 on 5/20/20193 on 5/20/20193 on 7/1/20196 on 3/29/20206 on 6/30/20206 on 7/27/20206 on 10/23/20206 on 1/15/20216 on 2/11/202113 on 3/31/202113 on 5/28/202113 on 8/20/202113 on 12/20/202113 on 2/2/202213 on 2/21/202217 on 3/31/202217 on 7/29/202217 on 10/3/202217 on 10/20/202217 on 3/17/202321 on 3/21/202321 on 4/13/202322 on 6/5/202322 on 7/7/202322 on 10/20/202322 on 11/1/202322 on 11/17/202322 on 1/3/202422 on 1/9/202424 on 3/12/2024

RAUM, Historic

800M400M02019202020212022202320242025197248437 on 5/20/2019197248437 on 5/20/2019197248437 on 7/1/2019221911652 on 3/29/2020221911652 on 6/30/2020269048227 on 7/27/2020269048227 on 10/23/2020269048227 on 1/15/2021482677133 on 2/11/2021482677133 on 3/31/2021482677133 on 5/28/2021482677133 on 8/20/2021482677133 on 12/20/2021482677133 on 2/2/2022482677133 on 2/21/2022589051903 on 3/31/2022589051903 on 7/29/2022589051903 on 10/3/2022589051903 on 10/20/2022589051903 on 3/17/2023599464093 on 3/21/2023599464093 on 4/13/2023599464093 on 6/5/2023599464093 on 7/7/2023599464093 on 10/20/2023599464093 on 11/1/2023599464093 on 11/17/2023599464093 on 1/3/2024599464093 on 1/9/2024716898042 on 3/12/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025254 on 5/20/2019254 on 5/20/2019254 on 7/1/2019280 on 3/29/2020280 on 6/30/2020280 on 7/27/2020280 on 10/23/2020280 on 1/15/2021802 on 2/11/2021802 on 3/31/2021802 on 5/28/2021802 on 8/20/2021802 on 12/20/2021802 on 2/2/2022802 on 2/21/2022842 on 3/31/2022842 on 7/29/2022842 on 10/3/2022842 on 10/20/2022842 on 3/17/20231013 on 3/21/20231013 on 4/13/20231013 on 6/5/20231013 on 7/7/20231013 on 10/20/20231013 on 11/1/20231013 on 11/17/20231013 on 1/3/20241013 on 1/9/20241145 on 3/12/2024

Holdings

From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
RTX CORPORATION COM 613K 6K –
TRAVELERS COMPANIES INC COM 201K 988 –
INVESCO QQQ TR UNIT SER 1 16M 33K –
TARGET CORP COM 292K 2K –
ABBVIE INC COM 601K 4K –
ADOBE INC COM 249K 449 –
ADVANCED MICRO DEVICES INC COM 510K 3K –
ALLSTATE CORP COM 806K 5K –
ALPHABET INC CAP STK CL C 11M 58K –
ALPHABET INC CAP STK CL A 7M 37K –
ALPS ETF TR OSHARES US QUALT 1M 22K –
ALTRIA GROUP INC COM 371K 8K –
AMAZON COM INC COM 4M 18K –
AMERICAN ELEC PWR CO INC COM 343K 4K –
AMERICAN EXPRESS CO COM 331K 1K –
AMGEN INC COM 533K 2K –
ANALOG DEVICES INC COM 296K 1K –
APOLLO TACTICAL INCOME FD IN COM 151K 10K –
APPLE INC COM 11M 54K –
APPLIED MATLS INC COM 323K 1K –
ARK ETF TR INNOVATION ETF 397K 9K –
ARM HOLDINGS PLC SPONSORED ADS 653K 4K –
ASML HOLDING N V N Y REGISTRY SHS 450K 440 –
AT&T INC COM 875K 46K –
BANK AMERICA CORP COM 2M 39K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K –
BLACKROCK ETF TRUST US EQT FACTOR 2M 41K –
BLACKROCK INC COM 207K 263 –
BLACKSTONE INC COM 471K 4K –
BLACKSTONE SECD LENDING FD COMMON STOCK 232K 8K –
BRISTOL-MYERS SQUIBB CO COM 619K 15K –
BROADCOM INC COM 816K 508 –
CALIFORNIA WTR SVC GROUP COM 576K 12K –
CARRIER GLOBAL CORPORATION COM 264K 4K –
CATERPILLAR INC COM 608K 2K –
CHEVRON CORP NEW COM 522K 3K –
CHIPOTLE MEXICAN GRILL INC COM 205K 3K –
CHURCH & DWIGHT CO INC COM 2M 17K –
CISCO SYS INC COM 516K 11K –
COCA COLA CO COM 775K 12K –
COLGATE PALMOLIVE CO COM 395K 4K –
COMCAST CORP NEW CL A 206K 5K –
COMMERCIAL METALS CO COM 555K 10K –
COMMUNITY FINANCIAL SYSTEM I COM 344K 7K –
CONOCOPHILLIPS COM 219K 2K –
CONSOLIDATED EDISON INC COM 2M 20K –
COSTCO WHSL CORP NEW COM 2M 2K –
CSX CORP COM 1M 38K –
CUMMINS INC COM 253K 915 –
DEERE & CO COM 425K 1K –
DELL TECHNOLOGIES INC CL C 381K 3K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 856K 24K –
DISNEY WALT CO COM 450K 5K –
DNP SELECT INCOME FD INC COM 280K 34K –
DOCUSIGN INC COM 230K 4K –
DOMINION ENERGY INC COM 787K 16K –
DOW INC COM 226K 4K –
DTE ENERGY CO COM 373K 3K –
DUPONT DE NEMOURS INC COM 218K 3K –
EATON CORP PLC SHS 346K 1K –
ELI LILLY & CO COM 596K 658 –
ENBRIDGE INC COM 210K 6K –
ENERGY TRANSFER L P COM UT LTD PTN 178K 11K –
ENTERPRISE PRODS PARTNERS L COM 309K 11K –
ESSEX PPTY TR INC COM 232K 851 –
ETF SER SOLUTIONS NATIONWIDE NASDQ 424K 17K –
ETFS GOLD TR PHYSCL GOLD SHS 263K 12K –
EXXON MOBIL CORP COM 2M 21K –
FIDELITY COVINGTON TRUST LOW VOLITY ETF 285K 5K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 217K 5K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 6M 109K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 581K 12K –
FIRST TR EXCHNG TRADED FD VI FT VEST US 559K 14K –
FORD MTR CO DEL COM 436K 35K –
FS KKR CAP CORP COM 514K 26K –
GE AEROSPACE COM NEW 469K 3K –
GE VERNOVA INC COM 320K 2K –
GENERAL MLS INC COM 1M 22K –
GENERAL MTRS CO COM 236K 5K –
GOLDMAN SACHS ETF TR ACCESS HIG YLD 367K 8K –
GOLDMAN SACHS GROUP INC COM 338K 747 –
GRANITESHARES ETF TR 2X LONG NVDA DAI 517K 7K –
HIGHLAND GLOBAL ALLOCATION F COM 1M 141K –
HOME DEPOT INC COM 1M 4K –
HONEYWELL INTL INC COM 457K 2K –
HORMEL FOODS CORP COM 555K 18K –
HUBBELL INC COM 366K 1K –
IDEXX LABS INC COM 218K 447 –
INTEL CORP COM 368K 12K –
INTERNATIONAL BUSINESS MACHS COM 827K 5K –
INVESCO ACTVELY MNGD ETC FD OPTIMUM YIELD 147K 10K –
INVESCO EXCH TRADED FD TR II SHORT TERM TREAS 387K 4K –
INVESCO EXCHANGE TRADED FD T DORSEY WRIGHT MO 2M 17K –
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 739K 19K –
INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 381K 19K –
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 1M 13K –
IRON MTN INC DEL COM 282K 3K –
ISHARES BITCOIN TR SHS 505K 15K –
ISHARES GOLD TR ISHARES NEW 270K 6K –
ISHARES INC MSCI EMRG CHN 638K 11K –
ISHARES INC CORE MSCI EMKT 1M 25K –
ISHARES SILVER TR ISHARES 429K 16K –
ISHARES TR MBS ETF 773K 8K –
ISHARES TR MSCI EMG MKT ETF 888K 21K –
ISHARES TR RUS TP200 GR ETF 1M 5K –
ISHARES TR S&P 500 VAL ETF 1M 6K –
ISHARES TR RUS 1000 GRW ETF 782K 2K –
ISHARES TR TIPS BD ETF 1M 12K –
ISHARES TR ISHS 1-5YR INVS 2M 32K –
ISHARES TR CORE S&P US GWT 2M 17K –
ISHARES TR TRS FLT RT BD 1M 21K –
ISHARES TR RESIDENTIAL MULT 3M 40K –
ISHARES TR CORE S&P500 ETF 18M 32K –
ISHARES TR MSCI USA MMENTM 285K 1K –
ISHARES TR CORE MSCI TOTAL 228K 3K –
ISHARES TR CORE HIGH DV ETF 494K 5K –
ISHARES TR IBOXX HI YD ETF 376K 5K –
ISHARES TR ISHARES BIOTECH 798K 6K –
ISHARES TR CORE S&P TTL STK 1M 10K –
ISHARES TR CORE DIV GRWTH 261K 5K –
ISHARES TR CORE US AGGBD ET 226K 2K –
ISHARES TR ESG AWR MSCI USA 505K 4K –
ISHARES TR CORE TOTAL USD 3M 70K –
ISHARES TR 7-10 YR TRSY BD 291K 3K –
ISHARES TR 1 3 YR TREAS BD 293K 4K –
ISHARES TR MSCI USA QLT FCT 2M 12K –
ISHARES TR CORE S&P SCP ETF 1M 10K –
ISHARES TR INTL TREA BD ETF 288K 7K –
ISHARES TR S&P 100 ETF 273K 1K –
ISHARES TR 20 YR TR BD ETF 590K 6K –
ISHARES TR CORE S&P US VLU 1M 16K –
ISHARES TR 0-5 YR TIPS ETF 421K 4K –
ISHARES TR U.S. TECH ETF 1M 7K –
ISHARES TR MODERT ALLOC ETF 758K 18K –
ISHARES TR EAFE GRWTH ETF 2M 18K –
ISHARES TR GRWT ALLOCAT ETF 262K 5K –
ISHARES TR US INFRASTRUC 470K 11K –
ISHARES TR MSCI USA MIN VOL 746K 9K –
ISHARES TR MSCI KLD400 SOC 212K 2K –
ISHARES TR RUS 1000 VAL ETF 496K 3K –
ISHARES TR RUSSELL 2000 ETF 334K 2K –
ISHARES TR SHORT TREAS BD 564K 5K –
ISHARES TR HDG MSCI EAFE 319K 9K –
ISHARES TR AGGRES ALLOC ETF 326K 4K –
ISHARES TR EAFE VALUE ETF 834K 16K –
ISHARES TR DOW JONES US ETF 553K 4K –
ISHARES TR S&P 500 GRWT ETF 2M 27K –
ISHARES TR 10-20 YR TRS ETF 205K 2K –
ISHARES TR MSCI EAFE ETF 1M 14K –
ISHARES TR CORE S&P MCP ETF 916K 16K –
ISHARES TR CORE MSCI EAFE 1M 19K –
ISHARES U S ETF TR BLACKROCK SH DUR 3M 59K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 1M 29K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 1M 20K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 233K 4K –
JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 744K 14K –
JOHNSON & JOHNSON COM 630K 4K –
JPMORGAN CHASE & CO. COM 1M 5K –
KELLANOVA COM 505K 9K –
KIMBERLY-CLARK CORP COM 1M 10K –
KKR & CO INC COM 340K 3K –
LOWES COS INC COM 215K 976 –
MAINSTAY CBRE GBL INFRA MEG COM 135K 11K –
MAINSTAY MACKAY DEFINEDTERM COM 261K 16K –
MARATHON PETE CORP COM 245K 1K –
MASTERCARD INCORPORATED CL A 2M 5K –
MCCORMICK & CO INC COM NON VTG 329K 5K –
MCDONALDS CORP COM 606K 2K –
MERCK & CO INC COM 606K 5K –
META PLATFORMS INC CL A 2M 3K –
MICRON TECHNOLOGY INC COM 924K 7K –
MICROSOFT CORP COM 7M 15K –
MONDELEZ INTL INC CL A 376K 6K –
NETFLIX INC COM 208K 308 –
NEW JERSEY RES CORP COM 205K 5K –
NEXTERA ENERGY INC COM 678K 10K –
NORFOLK SOUTHN CORP COM 233K 1K –
NUVEEN AMT FREE QLTY MUN INC COM 157K 14K –
NVIDIA CORPORATION COM 6M 46K –
OMEGA HEALTHCARE INVS INC COM 335K 10K –
ONEOK INC NEW COM 221K 3K –
OPKO HEALTH INC COM 25K 20K –
ORACLE CORP COM 518K 4K –
OTIS WORLDWIDE CORP COM 451K 5K –
PACER FDS TR TRENDP US LAR CP 903K 18K –
PACER FDS TR TRENDPILOT 100 775K 11K –
PALO ALTO NETWORKS INC COM 210K 620 –
PEPSICO INC COM 753K 5K –
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 154K 11K –
PFIZER INC COM 496K 18K –
PHILIP MORRIS INTL INC COM 337K 3K –
PHILLIPS 66 COM 262K 2K –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 1M 29K –
PROCTER AND GAMBLE CO COM 806K 5K –
PROSHARES TR S&P 500 DV ARIST 414K 4K –
PROSHARES TR PSHS ULT S&P 500 2M 20K –
PUBLIC STORAGE OPER CO COM 308K 1K –
PUBLIC SVC ENTERPRISE GRP IN COM 783K 11K –
PURECYCLE TECHNOLOGIES INC COM 150K 25K –
QUALCOMM INC COM 814K 4K –
RBB FD INC US TREAS 3 MNTH 2M 37K –
REALTY INCOME CORP COM 238K 5K –
RINGCENTRAL INC CL A 256K 9K –
SALESFORCE INC COM 322K 1K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 211K 3K –
SCHWAB STRATEGIC TR FUNDAMENTAL US L 700K 10K –
SCHWAB STRATEGIC TR US SML CAP ETF 375K 8K –
SCHWAB STRATEGIC TR US LCAP GR ETF 1M 11K –
SCHWAB STRATEGIC TR US LCAP VA ETF 811K 11K –
SCHWAB STRATEGIC TR US BRD MKT ETF 451K 7K –
SELECT MED HLDGS CORP COM 923K 26K –
SELECT SECTOR SPDR TR SBI INT-UTILS 448K 7K –
SELECT SECTOR SPDR TR TECHNOLOGY 434K 2K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 254K 2K –
SELECT SECTOR SPDR TR ENERGY 669K 7K –
SERVICENOW INC COM 289K 368 –
SOUTHERN CO COM 3M 41K –
SPDR DOW JONES INDL AVERAGE UT SER 1 2M 5K –
SPDR GOLD TR GOLD SHS 1M 7K –
SPDR S&P 500 ETF TR TR UNIT 23M 42K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 1M 2K –
SPDR SER TR PORTFOLIO S&P600 487K 12K –
SPDR SER TR PRTFLO S&P500 GW 960K 12K –
SPDR SER TR PRTFLO S&P500 HI 431K 11K –
SPDR SER TR PORTFOLIO S&P500 2M 26K –
SPDR SER TR PORTFOLIO S&P400 250K 5K –
STARBUCKS CORP COM 255K 3K –
SUPER MICRO COMPUTER INC COM 2M 2K –
TESLA INC COM 428K 2K –
TEXAS INSTRS INC COM 453K 2K –
TRANE TECHNOLOGIES PLC SHS 411K 1K –
UBER TECHNOLOGIES INC COM 214K 3K –
UNITED PARCEL SERVICE INC CL B 3M 22K –
UNITEDHEALTH GROUP INC COM 1M 2K –
VALERO ENERGY CORP COM 494K 3K –
VANECK ETF TRUST MRNGSTR WDE MOAT 729K 8K –
VANECK ETF TRUST SEMICONDUCTR ETF 2M 8K –
VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 530K 5K –
VANGUARD BD INDEX FDS INTERMED TERM 4M 52K –
VANGUARD BD INDEX FDS LONG TERM BOND 4M 52K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 769K 11K –
VANGUARD BD INDEX FDS SHORT TRM BOND 9M 116K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 8M 174K –
VANGUARD INDEX FDS TOTAL STK MKT 613K 2K –
VANGUARD INDEX FDS SMALL CP ETF 5M 24K –
VANGUARD INDEX FDS REAL ESTATE ETF 610K 7K –
VANGUARD INDEX FDS GROWTH ETF 22M 57K –
VANGUARD INDEX FDS VALUE ETF 14M 90K –
VANGUARD INDEX FDS MCAP GR IDXVIP 420K 2K –
VANGUARD INDEX FDS MID CAP ETF 720K 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 4M 8K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 7M 157K –
VANGUARD MALVERN FDS STRM INFPROIDX 6M 129K –
VANGUARD MUN BD FDS TAX EXEMPT BD 264K 5K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 352K 4K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 4M 79K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 1M 15K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 443K 5K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 1M 6K –
VANGUARD STAR FDS VG TL INTL STK F 340K 6K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 21M 422K –
VANGUARD WELLINGTON FD US VALUE FACTR 1M 12K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 4M 31K –
VANGUARD WHITEHALL FDS INTL DVD ETF 330K 4K –
VANGUARD WHITEHALL FDS INTL HIGH ETF 461K 7K –
VANGUARD WORLD FD UTILITIES ETF 1M 8K –
VANGUARD WORLD FD INF TECH ETF 1M 2K –
VANGUARD WORLD FD MEGA GRWTH IND 2M 6K –
VANGUARD WORLD FD HEALTH CAR ETF 296K 1K –
VERIZON COMMUNICATIONS INC COM 483K 12K –
VERTIV HOLDINGS CO COM CL A 611K 7K –
VICTORY PORTFOLIOS II CORE INTERMEDIAT 539K 12K –
VICTORY PORTFOLIOS II VICTORYSHS US 1M 30K –
VISA INC COM CL A 2M 7K –
WALMART INC COM 449K 7K –
WASTE MGMT INC DEL COM 201K 942 –
WISDOMTREE TR EUROPE SMCP DV 528K 9K –
WISDOMTREE TR EMG MKTS SMCAP 636K 12K –
WP CAREY INC COM 242K 4K –