SOVEREIGN WEALTH ADVISORS, INC.
CRD #140639 SEC #801-66839 BELLEVUE, WA 425-289-4222
SEC Registered
Total AUM
$279.8M
Discretionary
$239.1M
Employees
4
Clients
1
Accounts
697
Firm Details
- Organization Type
- Corporation
- State of Formation
- Washington
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 9, 2021
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HOFFMAN, VAN, FREDRICK | I | CHIEF COMPLIANCE OFFICER (CCO) | NA | Control |
| HOFFMAN, VAN, FREDRICK | I | CHIEF COMPLIANCE OFFICER (CCO) | NA | Control |
| HOFFMAN, VAN, FREDRICK | I | PRINCIPAL | NA | Control |
| LAILEY, SHARON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LAILEY, SHARON | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | NA | Control |
| LAILEY, SHARON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LAILEY, SHARON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | NA | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | NA | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | NA | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | NA | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRINCIPAL | NA | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRINCIPAL | NA | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRINCIPAL & CHIEF COMPLIANCE OFFICER | NA | Control |
| ULRICH, JOHN, PAUL | I | PRINCIPAL | NA | Control |
| ULRICH, JOHN, PAUL | I | PRINCIPAL | NA | Control |
| ULRICH, JOHN, PAUL | I | PRINCIPAL | NA | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER & CHIEF COMPLIANCE OFFICER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER & CHIEF COMPLIANCE OFFICER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER & CHIEF COMPLIANCE OFFICER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | E | Control |
| SOVEREIGN CAPITAL GROUP LLC | DE | 100% OWNER/HOLDING COMPANY/MANAGING MEMBER | E | Control |
| SOVEREIGN CAPITAL GROUP LLC | DE | 100% OWNER/HOLDING COMPANY/MANAGING MEMBER | E | Control |
| SOVEREIGN CAPITAL GROUP LLC | DE | 100% OWNER/HOLDING COMPANY/MANAGING MEMBER | E | Control |
| JOHNSON, TARA, ESTHER | I | INVESTMENT ADVISER REPRESENTATIVE, OWNER | C | Control |
| JOHNSON, TARA, ESTHER | I | INVESTMENT ADVISER REPRESENTATIVE, OWNER | C | Control |
| JOHNSON, TARA, ESTHER | I | INVESTMENT ADVISER REPRESENTATIVE, OWNER | C | Control |
| JOHNSON, TARA, ESTHER | I | INVESTMENT ADVISER REPRESENTATIVE, OWNER | C | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | C | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | C | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | C | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | C | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | B | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | B | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | B | Control |
| SHEFFIELD, SCOTT, ALLEN | I | PRESIDENT, OWNER | B | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | A | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | A | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | A | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | A | Control |
| LAILEY, SHARON | I | DIRECTOR OF BUSINESS OPS & CCO | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HOFFMAN, VAN, FREDRICK | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| HOFFMAN, VAN, FREDRICK | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| HOFFMAN, VAN, FREDRICK | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| SHEFFIELD, SCOTT, ALLEN | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| SHEFFIELD, SCOTT, ALLEN | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| SHEFFIELD, SCOTT, ALLEN | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| ULRICH, JOHN, PAUL | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| ULRICH, JOHN, PAUL | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
| ULRICH, JOHN, PAUL | I | SOVEREIGN CAPITAL GROUP LLC | C | Control |
Registrations
Federal
IA
Dec 9, 2021 REGISTERED
Notice Filings (8)
AZ CA CO NH NM OR TX WA
Address
601 108TH AVENUE NESUITE 1510
BELLEVUE, WA 98004
United States
Phone: 425-289-4222