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Sovereign Financial Group, Inc. — 13F Holdings & Portfolio

CIK 1846175 · latest 13F-HR filed 2026-07-24

Backtest portfolio

Sovereign Financial Group, Inc. manages $654.4M in 13F-reported U.S. long-equity assets across 386 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are VEA (5.82%), VUG (5.07%), SPY (4.52%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 42 new positions and exited 20; 200 existing positions rose in reported value and 63 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$654.4M

Long-equity book

Holdings
386

Distinct positions

Period
2026-06-30

Filed 2026-07-24

Q/Q Activity
+42 / −20 / ↑200 / ↓63

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
VEA5.8% · +0%VUG5.1% · +512%SPY4.5% · -4%VTV4.0% · +1%QQQ3.9% · -3%IVV3.4% · +14%GOOG3.2% · -3%AAPL2.3% · -0%VWO2.2% · +2%BNDX2.0% · +6%GOOGL2.0% · -4%BSV2.0% · +6%RDVY1.7% · +2%VB1.5% · +4%VTIP1.5% · +5%NVDA1.2% · +4%BIV1.1% · +9%MU1.1% · -13%VYM1.1% · -2%VOO1.1% · -1%REZ1.1% · +6%BLV1.0% · +11%VMBS1.0% · +6%MSFT0.8% · -5%TBIL0.7% · -9%AMZN0.6% · -3%APP0.6% · +16%IUSG0.6% · -2%NEAR0.5% · +10%IUSB0.5% · +39%SO0.5% · -5%PYLD0.5% · -2%JPM0.4% · +3%MA0.4% · +0%IVW0.4% · -4%XOM0.4% · -8%VGT0.4% · +686%DPZ0.4% · +3%PDP0.4% · 0%GLD0.4% · +0%JEPI0.4% · +2%SSO0.4% · +0%DYNF0.4% · +0%UPS0.4% · -0%CAT0.4% · +3%AVGO0.4% · -1%VTI0.3% · 0%IGSB0.3% · +13%IWY0.3% · -0%ED0.3% · -3%IUS0.3% · -2%DFIV0.3% · -2%BAC0.3% · -3%GSY0.3% · +11%JPST0.3% · +15%IVE0.3% · -21%MGK0.3% · +379%SPMO0.3% · +4%AMD0.3% · -2%VFVA0.3% · -4%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

3 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 36.4%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Jun 4, 2026.

Assets Under Management
$3.31B
Discretionary
$3.26B
Employees
8
Accounts
144
Address
3930 E RAY ROAD SUITE 170
PHOENIX, AZ 85044
Phone
(480) 385-2850
Website
Name Title / Status Ownership Type
LAMB, APRIL, DAWN ControlDIRECTOR OF OPERATIONS
since Dec 2021
Less than 5%Individual
LAMB, JEFFREY, MICHAEL ControlPRINCIPAL
since Mar 2009
Less than 5%Individual
SOVEREIGN FINANCE LLC ControlSOLE MEMBER
since Nov 2008
75% or moreDomestic Entity
EARLY, TODD, COLEMANCHIEF INVESTMENT OFFICER
since Jul 2017
Less than 5%Individual
ROTHCHILD, MATTHEW, DAVIDCHIEF COMPLIANCE OFFICER
since Nov 2025
Less than 5%Individual
LAMB, JEFFREY, MICHAEL Control
Indirect owner via SOVEREIGN FINANCE LLC
MANAGING MEMBER
since Nov 2008
75% or moreIndividual
MORONGO BAND OF MISSION INDIANS
Indirect owner via SOVEREIGN FINANCE
INVESTOR MEMBER
since Sep 2009
25–50%Domestic Entity
Ownership & leadership changes · 6 filings with changes since Apr 12, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Nov 19, 2025 filing
  • No longer listedTAVARES, MARGUERITE, AMARAL · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Dec 2021
  • AddedROTHCHILD, MATTHEW, DAVID · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 17, 2023 filing
  • AddedEARLY, TODD, COLEMAN · CHIEF INVESTMENT OFFICER · Less than 5%
Mar 25, 2022 filing
  • ChangedLAMB, JEFFREY, MICHAEL · ownership 75% or more → Less than 5%
  • ChangedSOVEREIGN FINANCE LLC · ownership 10–25% → 75% or more
Dec 20, 2021 filing
  • AddedTAVARES, MARGUERITE, AMARAL · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedLAMB, APRIL, DAWN · title CHIEF COMPLIANCE OFFICER → DIRECTOR OF OPERATIONS
Feb 3, 2015 filing
  • ChangedSOVEREIGN FINANCE LLC · ownership 75% or more → 10–25%
Jan 30, 2015 filing
  • ChangedMORONGO BAND OF MISSION INDIANS · indirect via SOVEREIGN FINANCE: title MANAGING MEMBER → INVESTOR MEMBER
Apr 12, 2012 filing (earliest on record)
  • ListedLAMB, APRIL, DAWN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ListedLAMB, JEFFREY, MICHAEL · MANAGING MEMBER · 75% or more · indirect via SOVEREIGN FINANCE LLC · control person
  • ListedLAMB, JEFFREY, MICHAEL · PRINCIPAL · 75% or more · control person
  • ListedMORONGO BAND OF MISSION INDIANS · MANAGING MEMBER · 25–50% · indirect via SOVEREIGN FINANCE
  • ListedSOVEREIGN FINANCE LLC · SOLE MEMBER · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 200 →

Top Trims

Show all 63 →

New Positions

Show all 42 →

Exited Positions

Show all 20 →

Sovereign Financial Group, Inc. Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 VANGUARD TAX-MANAGED FDS VEA 921943858 $38.1M 5.82% 534,696 SH
2 VANGUARD INDEX FDS VUG 922908736 $33.1M 5.07% 384,778 SH
3 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $29.6M 4.52% 39,613 SH
4 VANGUARD INDEX FDS VTV 922908744 $26.2M 4.00% 120,194 SH
5 INVESCO QQQ TR QQQ 46090E103 $25.6M 3.91% 34,751 SH
6 ISHARES TR IVV 464287200 $22.3M 3.40% 29,712 SH
7 ALPHABET INC GOOG 02079K107 $20.7M 3.16% 58,564 SH
8 APPLE INC AAPL 037833100 $15.2M 2.33% 52,627 SH
9 VANGUARD INTL EQUITY INDEX F VWO 922042858 $14.2M 2.17% 237,510 SH
10 VANGUARD CHARLOTTE FDS BNDX 92203J407 $13.2M 2.02% 272,485 SH
11 ALPHABET INC GOOGL 02079K305 $13.0M 1.98% 36,264 SH
12 VANGUARD BD INDEX FDS BSV 921937827 $12.8M 1.96% 164,471 SH
13 FIRST TR EXCHANGE TRADED FD RDVY 33738R506 $11.4M 1.74% 140,213 SH
14 VANGUARD INDEX FDS VB 922908751 $10.0M 1.54% 33,141 SH
15 VANGUARD MALVERN FDS VTIP 922020805 $9.9M 1.52% 197,426 SH
16 NVIDIA CORPORATION NVDA 67066G104 $7.7M 1.18% 38,636 SH
17 VANGUARD BD INDEX FDS BIV 921937819 $7.4M 1.13% 96,221 SH
18 MICRON TECHNOLOGY INC MU 595112103 $7.2M 1.10% 6,256 SH
19 VANGUARD WHITEHALL FDS VYM 921946406 $7.1M 1.08% 44,791 SH
20 VANGUARD INDEX FDS VOO 922908363 $7.0M 1.07% 10,194 SH
21 ISHARES TR REZ 464288562 $6.9M 1.05% 72,683 SH
22 VANGUARD BD INDEX FDS BLV 921937793 $6.8M 1.04% 99,163 SH
23 VANGUARD SCOTTSDALE FDS VMBS 92206C771 $6.3M 0.97% 134,927 SH
24 MICROSOFT CORP MSFT 594918104 $5.2M 0.80% 13,983 SH
25 RBB FD INC TBIL 74933W452 $4.8M 0.73% 96,299 SH
26 AMAZON COM INC AMZN 023135106 $4.2M 0.64% 17,447 SH
27 APPLOVIN CORP APP 03831W108 $4.0M 0.60% 7,671 SH
28 ISHARES TR IUSG 464287671 $3.6M 0.56% 19,353 SH
29 ISHARES U S ETF TR NEAR 46431W507 $3.5M 0.53% 68,830 SH
30 ISHARES TR IUSB 46434V613 $3.3M 0.50% 70,913 SH
31 SOUTHERN CO SO 842587107 $3.1M 0.48% 32,652 SH
32 PIMCO ETF TR PYLD 72201R585 $3.1M 0.47% 115,903 SH
33 JPMORGAN CHASE & CO JPM 46625H100 $2.8M 0.43% 8,640 SH
34 MASTERCARD INCORPORATED MA 57636Q104 $2.8M 0.43% 5,500 SH
35 ISHARES TR IVW 464287309 $2.7M 0.42% 19,937 SH
36 EXXON MOBIL CORP XOM 30231G102 $2.7M 0.42% 19,961 SH
37 VANGUARD WORLD FD VGT 92204A702 $2.7M 0.41% 22,341 SH
38 DOMINOS PIZZA INC DPZ 25754A201 $2.6M 0.40% 8,745 SH
39 INVESCO EXCHANGE TRADED FD T PDP 46137V837 $2.5M 0.39% 16,767 SH
40 SPDR GOLD TR GLD 78463V107 $2.5M 0.39% 6,885 SH
41 J P MORGAN EXCHANGE TRADED F JEPI 46641Q332 $2.5M 0.38% 43,907 SH
42 PROSHARES TR SSO 74347R107 $2.4M 0.37% 36,148 SH
43 BLACKROCK ETF TRUST DYNF 09290C103 $2.4M 0.37% 35,239 SH
44 UNITED PARCEL SVCS INC UPS 911312106 $2.4M 0.36% 22,039 SH
45 CATERPILLAR INC CAT 149123101 $2.3M 0.36% 2,196 SH
46 BROADCOM INC AVGO 11135F101 $2.3M 0.36% 6,158 SH
47 VANGUARD INDEX FDS VTI 922908769 $2.3M 0.35% 6,102 SH
48 ISHARES TR IGSB 464288646 $2.2M 0.34% 42,879 SH
49 ISHARES TR IWY 464289438 $2.2M 0.34% 7,664 SH
50 CONSOLIDATED EDISON INC ED 209115104 $2.2M 0.34% 20,019 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-07-24 $654.4M 386 0001951757-26-001052
2026-03-31 2026-04-17 $575.6M 365 0001951757-26-000644
2025-12-31 2026-01-07 $580.4M 349 0001951757-26-000029
Filer Information
Address
35 WEST BROAD STREET, SUITE 100
STAMFORD, CT 06902
Phone
(203) 883-6006
Filing Manager
Sovereign Financial Group, Inc.
STAMFORD, CT
Signatory
Chris Mortara
Chief Compliance Officer