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SOVEREIGN FINANCIAL GROUP, INC.

STAMFORD, CT · CRD 294314 · IAPD ↗ · (888) 765-8180

$1.08BRegulatory AUM
23Advisory reps
31Employees
5Clients
1-10Planning clients
0Private funds
27States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — SOVEREIGN FINANCIAL GROUP, INC. added office(s): 22 -> 24 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2026 — SOVEREIGN FINANCIAL GROUP, INC. now reports custody of client assets ($1.04B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
76
April 2026 — SOVEREIGN FINANCIAL GROUP, INC. grew from 17 to 23 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2026 — SOVEREIGN FINANCIAL GROUP, INC. crossed $1B in regulatory AUM ($882.7M -> $1.08B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
45
January 2026 — SOVEREIGN FINANCIAL GROUP, INC. notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2025 — SOVEREIGN FINANCIAL GROUP, INC. added office(s): 21 -> 22 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
July 2025 — SOVEREIGN FINANCIAL GROUP, INC. added office(s): 19 -> 21 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2025 — SOVEREIGN FINANCIAL GROUP, INC. notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2024 — SOVEREIGN FINANCIAL GROUP, INC. added office(s): 18 -> 19 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
November 2024 — SOVEREIGN FINANCIAL GROUP, INC. notice-filed in OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
June 2024 — SOVEREIGN FINANCIAL GROUP, INC. notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
May 2024 — SOVEREIGN FINANCIAL GROUP, INC. notice-filed in IL, RI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — SOVEREIGN FINANCIAL GROUP, INC. added office(s): 16 -> 18 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
February 2024 — SOVEREIGN FINANCIAL GROUP, INC. notice-filed in UT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
February 2024 — SOVEREIGN FINANCIAL GROUP, INC. added office(s): 15 -> 16 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

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