A complete list of active advisors currently associated with Sovereign Financial Group
Warmer can help you find a great advisor at Sovereign Financial Group or one who fits your needs even better.
Sovereign Financial Group provides investment advisory and financial planning services primarily to individual and high-net-worth clients. The firm offers three service programs—Investment, Legacy, and Wealth Management—that include portfolio management, financial planning, and, at higher service levels, coordination with tax, estate, and insurance professionals. The firm typically manages accounts on a discretionary, percentage-of-assets-under-management retainer basis and documents each relationship with a written Investment Policy Statement tailored to the client’s objectives and risk tolerance. Sovereign conducts periodic reviews (at least annually), may recommend or use third-party subadvisors, and handles retirement-account rollovers while disclosing its ERISA fiduciary obligations when applicable. Sovereign is notable among solo independent advisors for sponsoring a wrap-fee program (described in its ADV Appendix 1), a relatively uncommon offering for firms in this category. The firm also participates in an institutional custodian program and discloses receipt of associated benefits, limits new client intake primarily to its Wealth Management program (reflecting a practical scale threshold), and reports no disciplinary history or commission-based compensation.
To learn more about the advisors currently working at Sovereign Financial Group, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.
Name |
Location |
Years of experience |
|---|---|---|
Raleigh, NC
| 20
|
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