SOVEREIGN INVESTMENT ADVISORS LLC of PHOENIX, AZ is an SEC-registered investment adviser (CRD 149040). Regulatory assets under management: $3.3B.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Matthew David Rothchild | CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Michael Lamb | MANAGING MEMBER; PRINCIPAL | — |
| April Dawn Lamb | DIRECTOR OF OPERATIONS | — |
| Todd Coleman Early | CHIEF INVESTMENT OFFICER | — |
| Marguerite Amaral Tavares | CHIEF COMPLIANCE OFFICER | — |
| ULRICH RONALD JOHN | MANAGING MEMBER | — |
| HOFFMAN VAN FREDRICK | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |
| ULRICH JOHN PAUL | MANAGING DIRECTOR; PRESIDENT | — |
| LAMB APRIL DAWN | CHIEF COMPLIANCE OFFICER; DIRECTOR OF OPERATIONS | — |
| LAMB JEFFREY MICHAEL | MANAGING MEMBER; PRINCIPAL | — |
| EARLY TODD COLEMAN | CHIEF INVESTMENT OFFICER | — |
| TAVARES MARGUERITE AMARAL | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-04-24 | criminal | MR. COURTNEY MONTEIRO WAS CONVICTED OF A FELONY INVOLVING AGGRAVATED ASSAULT RESULTING FROM AN ALTERCATION WHEREBY MR. MONTEIRO CAUSED PHYSICAL INJURY TO A MALE INDIVIDUAL. THE EVENTS LEADING UP TO THIS EVENT WERE OUTSIDE OF MR. MONTEIRO'S ROLE WITH THE FIRM. FOR MORE INFORMATION, PLEASE SEE MR. MON… | Final | — |