SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Sovereign Wealth Advisors LLC
Houston, TX
CRD 188524
Firm filing updated July 17, 2026 ·
- $625.1MAssets
- 1,275Clients
- 35Advisory staff
- 1,892Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals844
- High net worth individuals408
- Corporations or other businesses20
- Pension and profit sharing plans3
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 844 | $143.3 million |
| High net worth individuals | 408 | $378.1 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $7.1 million |
| Corporations or other businesses not listed above | 20 | $96.6 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
See all 4 services
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$625.1 million
- Accounts1,892
- Discretionary$581.9 million · 1,824 accounts
- Non-discretionary$43.2 million · 68 accounts
People
- Employees35
- Advisory staff35
- Broker-dealer reps35
- Licensed insurance agents0
- Planning clients26 to 50
Advisors
17 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 188524, SEC file 801-98346.
- Registered with the SEC as an investment advisor (status date on record: June 11, 2015).
Is Sovereign Wealth Advisors LLC a fiduciary?
Short answer: Sovereign Wealth Advisors LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 35 staff are broker-dealer representatives and the firm is itself a registered representative of a broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.