# SOVEREIGN INVESTMENT ADVISORS LLC

SOVEREIGN INVESTMENT ADVISORS LLC of PHOENIX, AZ is an SEC-registered investment adviser.

## Registration

- CRD: 149040
- Type: SEC-registered investment adviser
- SEC file number: 801-80942
- Location: 3930 E RAY ROAD SUITE 170, PHOENIX, AZ, 85044
- Phone: 480-385-2850
- Latest filing: 2026-06-04
- Regulatory AUM: $3.3B
- Discretionary AUM: $3.3B
- Non-discretionary AUM: $52.9M
- Clients: 8
- Accounts: 144

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (12)

| 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 | — |


## Disclosures (1)

| 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 | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/149040/brochure
- Similar advisers: https://search.stillhousedata.com/firm/149040/similar
- Related entities: https://search.stillhousedata.com/firm/149040/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/149040

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.