SOVEREIGN WEALTH ADVISORS LLC
Adviser information for SOVEREIGN WEALTH ADVISORS LLC last updated from Form ADV on March 30th, 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 | Texas, United States |
Employees
| Total Number of Employees | 40 |
|---|---|
| Investment Advisory/Research | 31 |
| Registered Broker-Dealer Representatives | 31 |
| Registered State Investment Advisers | 31 |
| 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 | 1,310 | $509.3M |
| Non-Discretionary | 83 | $38.1M |
| Total | 1,393 | $547.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 929 | $154.2M |
| HNW Individuals | 428 | $363.0M |
| 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 | 12 | $10.0M |
| Charitable organizations | 2 | $336,931 |
| 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 | 22 | $19.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-98346 |
|---|---|
| SEC ERA File Number | 801-98346 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 188524 |
| Legal Entity Identifier | None |
Principal Office
3120 SOUTHWEST FRWYSUITE 500
HOUSTON
TX
United States
Monday - Friday, 8:00AM - 4:30PM
Tel: 713-527-3400, Fax: 713-627-2227
Websites
Chief Compliance Officer
RUSSELL GEBHARD
CEO | FOUNDER
3120 SOUTHWEST FREEWAY
SUITE 500
HOUSTON
TX
United States
Tel:
(713) 527-3400
Fax:
(713) 627-2227
R*******@***************M
(Full email address available in API data)
Regulatory Contact
PAUL DIXON
MANAGING DIRECTOR
3120 SOUTHWEST FREEWAY
SUITE 500
HOUSTON
TX
United States
Tel:
713-527-3400
Fax:
713-627-2227
P*****@***************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 |
|---|---|---|---|---|---|
| GEBHARD, RUSSELL, THOMAS | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | 06/2015 | > 75% |