Sovereign Capital Vantage, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Sovereign Capital Vantage, Inc. is a fee‑based advisory firm that provides discretionary portfolio management and hourly financial planning primarily to individual and high‑net‑worth clients. The firm oversees about $26.8 million for roughly 68 clients across three offices and offers services for both custodied accounts and held‑away retirement accounts.
SCV manages portfolios using a mix of fundamental and technical analysis and may employ long‑ and short‑term strategies, including options trading where appropriate, with client accounts reviewed at least quarterly. The firm accepts discretionary authority, uses third‑party custodians (participating in an institutional custody program) for execution and reporting, and offers a third‑party platform to manage held‑away retirement plan assets without taking custody.
What is notable relative to many peers is that the firm advertises third‑party ratings and clearly lists contact and website information in its brochure, a practice that is uncommon among supported firms. It also limits client voting of proxies (clients receive and vote their own proxies), provides constructive custody only through fee deduction, and operates with a small adviser team while servicing multiple offices.
Client services
Expertise
Fee options
up to 1.75% annually, negotiable
$150 per hour for financial planning and consulting
Account minimum: $100,000
Main office
Ashland VA
Advisors at this office
3
Most active in
Mississippi · Tennessee · Virginia
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Advisors at this firm
Diana T
Series 65
Ashland, VA
Sovereign Capital Vantage, Inc.
Diana Thompson is a Series 65 licensed advisor at Sovereign Capital Vantage, Inc. with nine years of experience at the firm and a total of 21 years in the industry. Prior to her current role, she worked in public schools in Hanover County and Desoto County for a total of 12 years. She is also a corporate Secretary and owner of Sovereign Capital Vantage, where she manages corporate responsibilities alongside her advisory duties. Sovereign Capital Vantage, Inc. is a fee-based advisory firm serving individual and high-net-worth clients through discretionary portfolio management and hourly financial planning. The firm oversees approximately $26.8 million for about 68 clients across three offices, using a blend of fundamental and technical analysis and offering services for both custodied and held-away retirement accounts.
Emily G
Series 65
Ashland, VA
Sovereign Capital Vantage, Inc.
Emily Griswell is a financial advisor with Sovereign Capital Vantage, Inc. She holds a Series 65 designation and has been with the firm since 2024. Prior to her advisory role, she worked in property management and caregiving. Sovereign Capital Vantage, Inc. is a fee-based advisory firm providing discretionary portfolio management and hourly financial planning primarily to individual and high-net-worth clients. The firm manages portfolios using a combination of fundamental and technical analysis, employs various strategies including options trading, and services clients across three offices with a team of two advisors.
Marc T
Series 63, Series 66
Ashland, VA
Sovereign Capital Vantage, Inc.
Marc Thompson is a financial advisor at Sovereign Capital Vantage, Inc. with 18 years of industry experience. He holds the Series 63 and Series 66 designations and previously worked at Edward Jones from 2010 to 2017 before joining Sovereign Capital Vantage in 2017. Sovereign Capital Vantage, Inc. is a fee-based advisory firm that provides discretionary portfolio management and hourly financial planning primarily to individual and high-net-worth clients. The firm manages portfolios using a combination of fundamental and technical analysis, offering both long- and short-term strategies including options trading, and oversees approximately $26.8 million across three offices.
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