SOVEREIGN INVESTMENT ADVISORS LLC
Adviser information for SOVEREIGN INVESTMENT ADVISORS LLC last updated from Form ADV on March 15th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 131 | $2.3B |
| Non-Discretionary | 8 | $48.8M |
| Total | 139 | $2.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $1.5M |
| HNW Individuals | 0 | $0 |
| 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 | 7 | $45.4M |
| 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 | 31 | $2.3B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
3930 E RAY ROAD SUITE 170PHOENIX
AZ
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 480-385-2850, Fax: 480-385-2855
Websites
Chief Compliance Officer
MARGUERITE TAVARES
1350 COLUMBIA STREET
SUITE 300
SAN DIEGO
CA
United States
Tel:
619-278-0020
Fax:
619-278-0050
M*************@**********M
(Full email address available in API data)
Regulatory Contact
APRIL LAMB
DIRECTOR OF OPERATIONS
3930 E RAY ROAD SUITE 170
PHOENIX
AZ
United States
Tel:
480-385-2840
Fax:
480-385-2855
A*********@*******************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 |
|---|---|---|---|---|---|
| SOVEREIGN FINANCE LLC | Domestic Entity | – | SOLE MEMBER | 11/2008 | > 75% |
| LAMB, JEFFREY, MICHAEL | Individual | SOVEREIGN FINANCE LLC | MANAGING MEMBER | 11/2008 | > 75% |
| LAMB, APRIL, DAWN | Individual | – | DIRECTOR OF OPERATIONS | 12/2021 | < 5% |
| MORONGO BAND OF MISSION INDIANS | Domestic Entity | SOVEREIGN FINANCE | INVESTOR MEMBER | 09/2009 | 25-50% |
| LAMB, JEFFREY, MICHAEL | Individual | – | PRINCIPAL | 03/2009 | < 5% |
| TAVARES, MARGUERITE, AMARAL | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2021 | < 5% |
| EARLY, TODD, COLEMAN | Individual | – | CHIEF INVESTMENT OFFICER | 07/2017 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ISHARES TR | CORE S&P500 ETF | 34M | 71K | – |
| JANUS DETROIT STR TR | HENDRSN SHRT ETF | 33M | 673K | – |
| ISHARES TR | MSCI USA MIN VOL | 25M | 324K | – |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 18M | 357K | – |
| ISHARES TR | CORE MSCI EAFE | 16M | 232K | – |
| MPLX LP | COM UNIT REP LTD | 14M | 374K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 13M | 175K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 9M | 332K | – |
| WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 8M | 274K | – |
| PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 8M | 529K | – |
| VANGUARD SCOTTSDALE FDS | MTG-BKD SECS ETF | 7M | 158K | – |
| VANGUARD BD INDEX FDS | INTERMED TERM | 7M | 95K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 7M | 30K | – |
| BNY MELLON ETF TRUST | GLOBAL INFRASCTR | 7M | 251K | – |
| ONEOK INC NEW | COM | 7M | 96K | – |
| ISHARES TR | CORE US AGGBD ET | 6M | 64K | – |
| PHILLIPS 66 | COM | 6M | 42K | – |
| LEGG MASON ETF INVT | FRANKLIN US LOW | 5M | 141K | – |
| ISHARES TR | TRS FLT RT BD | 5M | 101K | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 5M | 78K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 4M | 46K | – |
| SPDR SER TR | BLOOMBERG HIGH Y | 4M | 43K | – |
| ISHARES INC | CORE MSCI EMKT | 4M | 75K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 3M | 60K | – |
| ARK ETF TR | INNOVATION ETF | 3M | 63K | – |
| TC ENERGY CORP | COM | 2M | 55K | – |
| NUSTAR ENERGY LP | UNIT COM | 2M | 109K | – |
| ISHARES TR | S&P SML 600 GWT | 1M | 11K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 1M | 27K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 1M | 14K | – |
| ISHARES TR | IBOXX HI YD ETF | 721K | 9K | – |
| ISHARES TR | MSCI EAFE MIN VL | 377K | 5K | – |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 284K | 5K | – |