# SOVEREIGN FINANCIAL GROUP, INC.

SOVEREIGN FINANCIAL GROUP, INC. of STAMFORD, CT is an SEC-registered investment adviser.

## Registration

- CRD: 294314
- Type: SEC-registered investment adviser
- SEC file number: 801-114529
- Location: 35 WEST BROAD STREET, SUITE 100, STAMFORD, CT, 06902
- Phone: (888) 765-8180
- Latest filing: 2026-06-05
- Regulatory AUM: $1.1B
- Discretionary AUM: $1.1B
- Non-discretionary AUM: $18.3M
- Clients: 31
- Accounts: 4,486

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pensions, Charities

## Officers, owners & control persons (8)

| Name | Role | Location |
| --- | --- | --- |
| Christopher Michael Mortara | CHIEF COMPLIANCE OFFICER | — |
| Charles Failla | MANAGING MEMBER | — |
| Nicholas Donald Thiede | HEAD OF OPERATIONS | — |
| Deanna Bowen Hutchinson | CHIEF COMPLIANCE OFFICER | — |
| Brett James Hall | DIRECTOR, TRADING OPERATIONS | — |
| FAILLA CHARLES | MANAGING MEMBER | — |
| KOCHERSPERGER JOHN KARL | CHIEF COMPLIANCE OFFICER | — |
| HUTCHINSON DEANNA BOWEN | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/294314/brochure
- Similar advisers: https://search.stillhousedata.com/firm/294314/similar
- Related entities: https://search.stillhousedata.com/firm/294314/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/294314

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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.