Sousa Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,253,657
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
4
50% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
4
LowAverage account size
$1,063,414
About
The firm provides investment advisory and financial planning services to individuals, trusts and estates, and accepts a limited number of pension or profit‑sharing plan clients. It offers managed accounts through a Vision2020 Wealth Management Platform and access to third‑party programs (SEI and SIMCO), and also conducts insurance brokerage activity.
Portfolios are built using asset‑allocation software, a client risk‑tolerance questionnaire and both fundamental and technical analysis, with a primary emphasis on mutual funds and generally long‑term holdings. Management is largely nondiscretionary: the firm provides monitoring and rebalancing recommendations but states that changes to allocations are implemented only after client approval.
The firm is dually registered as a registered representative of a broker‑dealer and discloses that it may receive commissions, 12b‑1 fees and portions of program fees from program sponsors (including SEI), a set‑up the brochure identifies as a material conflict of interest. That dual registration also constrains custodial and execution arrangements (the firm routes business through its broker‑dealer’s clearing relationship) and the combination of insurance brokerage, receipt of third‑party fees, and a small, primarily nondiscretionary client base are notable contrasts with many independent, solo advisers.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Tax-loss harvesting
Wealth management
Passive / index investing
Fee options
Fixed fee of $1,000 for financial planning services, negotiable based on complexity and meetings.
$0 - $500,000: 1.25% annually $500,001 - $1,000,000: 1.00% annually $1,000,001 - $2,000,000: 0.80% annually $2,000,001 - $3,000,000: 0.60% annually $3,000,001+: 0.40% annually
Account minimum: $50,000
Main office location
Sousa Financial
Andover MA, United States
Number of offices
2
Most active in
Sousa Financial has reported serving >5 clients in these states in the last 12 months.
Massachusetts · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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