Sovereign Wealth Advisors Llc
- Regulatory AUM
- $625M
- Discretionary
- $582M
- Clients
- 1,275
- Avg AUM / client
- $490K
- Accounts
- 1,892
- Employees
- 35
AUM over time
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Asset allocation (SMA assets by investment type)
as of Jul 17, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 844 | $143M | 22.9% |
| High net worth individuals | 408 | $378M | 60.5% |
| Pension and profit sharing plans | 3 | $7.1M | 1.13% |
| Corporations and other businesses | 20 | $96.6M | 15.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Houston Ear Nose & Throat Clinic 401(k) Profit Sharing Plan Houston Ear, Nose & Throat Clinic, Llp | 2024 |
People (30)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Russell Thomas Gebhard | Chief Compliance Officer And Managing Member | Jun 2015 (11y) | 75% or more | |
| Douglas Buchanan Yauger | Registered representative | Jan 2020 (7y) | ||
| Matthew Quinn Holder | Registered representative | Jan 2020 (7y) | ||
| Brandon Keith Gay | Registered representative | Jan 2020 (7y) | ||
| Charles Lawrence Fahy | Registered representative | Jan 2020 (7y) | ||
| Daniel Hamilton Eaton | Registered representative | Jan 2020 (7y) | ||
| David George Hanson | Registered representative | CFP Chartered Financial Consultant | Jan 2020 (7y) | |
| David Stephen Spann | Registered representative | CFP | Jan 2020 (7y) | |
| Elisia Faith Pearson | Registered representative | Jan 2020 (7y) | ||
| Frank M. Sarubbi | Registered representative | Jan 2020 (7y) | ||
| Jeff Alan Peskin | Registered representative | Jan 2020 (7y) | ||
| Martin B Peskin | Registered representative | Jan 2020 (7y) | ||
| Neal Alan Britt | Registered representative | Jan 2020 (7y) | ||
| Paul Alexander Dixon | Registered representative | Jan 2020 (7y) | ||
| Paul Lawrence Wobbe | Registered representative | Jan 2020 (7y) | ||
| Phillip Morgan Evans | Registered representative | Jan 2020 (7y) | ||
| Robert Edward Lee | Registered representative | Jan 2020 (7y) | ||
| Stephen John Mchale | Registered representative | CFP | Jan 2020 (7y) | |
| Stephen M Petty | Registered representative | Jan 2020 (7y) | ||
| Teresa Michele Theobald | Registered representative | Jan 2020 (7y) | ||
| William Lee Vaseliades | Registered representative | Jan 2020 (7y) | ||
| William Milton Bevill | Registered representative | Jan 2020 (7y) | ||
| Stephen Scott Barber | Registered representative | Jan 2020 (7y) | ||
| James Bryant Hawryluk | Registered representative | Jun 2022 (4y) | ||
| Bradley Alan Bowman | Registered representative | Jun 2022 (4y) | ||
| John Allen Blair | Registered representative | Jul 2022 (4y) | ||
| Rodolfo G Choperena | Registered representative | Sep 2023 (3y) | ||
| Tomiko Reyelle Arthur | Registered representative | Nov 2023 (3y) | ||
| Stephen Craig Hall | Registered representative | Jun 2025 (1y) | ||
| Walter Eugene Theobald | Registered representative | Jun 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Houston Ear Nose & Throat Clinic 401(k) Profit Sharing Plan | Houston Ear, Nose & Throat Clinic, Llp | 110 | $27.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 906 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 17, 2026.
View current Form ADV (SEC/IAPD) ↗