← Tributary

SOVEREIGN ASSET MANAGEMENT

AMHERST, NY · CRD 285103 · IAPD ↗ · (716) 768-1463

$176.0MRegulatory AUM
2Advisory reps
2Employees
0Clients
0Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

75
April 2026 — SOVEREIGN ASSET MANAGEMENT now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
58
January 2026 — SOVEREIGN ASSET MANAGEMENT reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
60
February 2024 — SOVEREIGN ASSET MANAGEMENT reported RAUM up 28% ($97.8M -> $125.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.