Data / Investment advisers / Arizona / Sovereign Investment Advisors LLC
Sovereign Investment Advisors LLC, Phoenix, AZ: $3.3 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Sovereign Investment Advisors LLC is an SEC registered investment adviser with its main office in Phoenix, Arizona and reports $3.3 billion in regulatory assets under management in its Form ADV filed June 4, 2026. Its clients include pension and profit sharing plans and individuals. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 149040
- SEC file number
- 801-80942
- SEC status
- Approved, effective February 19, 2015
- Main office
- 3930 E Ray Road Suite 170, Phoenix, AZ 85044
- Phone
- (480) 385-2850
- Website
- sovereigninvestmentadvisors.com
- Regulatory AUM
- $3,312,334,304 in the Form ADV filed June 4, 2026
- Discretionary AUM
- $3,259,425,740
- Non discretionary AUM
- $52,908,564
- Accounts
- 144
- Employees
- 8, of which 6 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- June 4, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pension and profit sharing plans | 4 | $52.9 million |
| Individuals (other than high net worth individuals) | 4 | $1.7 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $3.31 billion | March 4, 2026 |
| December 1, 2025 | $2.99 billion | November 19, 2025 |
Other advisers in Phoenix
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Foundations Investment Advisors LLC | Phoenix | $10.10 billion | Not listed | adviserinfo.sec.gov |
| Dynamic | Phoenix | $5.64 billion | Not listed | adviserinfo.sec.gov |
| Smead Capital Management, Inc. | Phoenix | $5.52 billion | Not listed | adviserinfo.sec.gov |
| Tfo Family Office Partners | Phoenix | $5.04 billion | Not listed | adviserinfo.sec.gov |
| PFG Advisors | Phoenix | $3.26 billion | Not listed | adviserinfo.sec.gov |
| Versant Capital Management, Inc. | Phoenix | $1.81 billion | Not listed | adviserinfo.sec.gov |
| L. Roy Papp & Associates, LLP | Phoenix | $1.62 billion | Not listed | adviserinfo.sec.gov |
| Awm Capital, LLC | Phoenix | $1.49 billion | 10 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Phoenix, AZ
- Investment advisers in Arizona
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving pension and profit sharing plans
- Advisers serving individuals
- Sovereign Investment Advisors LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.