Sovereign Investment Advisors Llc
- Regulatory AUM
- $3.3B
- Discretionary
- $3.3B
- Clients
- 41
- Avg AUM / client
- $80.8M
- Accounts
- 144
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4 | $1.7M | 0.05% |
| Pension and profit sharing plans | 4 | $52.9M | 1.6% |
| Other | 33 | $3.3B | 98.4% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Ak Chin Indian Community 401(k) Retirement Savings Plan Ak Chin Indian Community | 2024 | |
| Lac Vieux Desert Band Of Lake Superior Chippewa Indians 401(k) Plan Lac Vieux Desert Band Of Lake Superior Chippewa | 2024 | |
| Northwest Portland Area Indian Health Board 403(b) Plan Northwest Portland Area Indian Health Board | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lamb, Jeffrey, Michael | Managing Member | Nov 2008 (18y) | ≈ 56.25% – 100% via Sovereign Finance Llc | |
| Todd Coleman Early | Chief Investment Officer | Jul 2017 (9y) | Less than 5% | |
| Lamb, April, Dawn | Director Of Operations | Dec 2021 (5y) | Less than 5% | |
| Tavares, Marguerite, Amaral | Chief Compliance Officer | Dec 2021 (5y) | Less than 5% | |
| Courtney Alexander Monteiro | Registered representative | May 2012 (14y) | ||
| Matthew Patrick Eden | Registered representative | May 2012 (14y) | ||
| Michael Benjamin Assam | Registered representative | Jan 2013 (14y) | ||
| Charles Victor Freemont | Registered representative | Sep 2017 (9y) | ||
| Tresten Dzatsinna Joseph | Registered representative | Oct 2020 (6y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sovereign Finance Llc | Sole Member | Nov 2008 | A | 75% or more |
| Morongo Band Of Mission Indians | Investor Member | Sep 2009 | B | 25% – 50% of Sovereign Finance (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Lamb, Jeffrey, Michael: 75% – 100% of Sovereign Finance Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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 (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Ak Chin Indian Community 401(k) Retirement Savings Plan | Ak Chin Indian Community | 523 | $15.2M | 01/01/2024 |
| Lac Vieux Desert Band Of Lake Superior Chippewa Indians 401(k) Plan | Lac Vieux Desert Band Of Lake Superior Chippewa | 411 | $8.9M | 01/01/2024 |
| Northwest Portland Area Indian Health Board 403(b) Plan | Northwest Portland Area Indian Health Board | 136 | $9.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/04/2026 | 926 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Event Detail: COUNT 1: AGGRAVATED ASSAULT FELONY PLEAD GUILTY THIS INCIDENT WAS NOT COMPANY OR INVESTMENT-RELATED Status: Final Disposition: 1. CONVICTED 2. JANUARY 23, 2015 3. SENTENCED 4. PROBATION WITH 45 DAYS IN JAIL, WITH WORK FURLOUGH 5. JANUARY 23, 2015 Summary: 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. MONTEIRO'S FORM ADV PART 2B.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $89.0M (3% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 04, 2026.
View current Form ADV (SEC/IAPD) ↗