9AT: SOVEREIGN ASSET MANAGEMENT

SOVEREIGN ASSET MANAGEMENT

SOVEREIGN ASSET MANAGEMENT

PRIORITY FINANCIAL GROUP

THE MONEY MEN, INC.

Related Companies

Show removed companies

Adviser Profile

As of Date	03/10/2026
Registration	SEC, Approved, 02/21/2018
Other registrations (2)	Texas, Terminated, 12/26/2018 New York, Terminated, 05/02/2018
ADV Location	AMHERST, NY, United States
Contact Info	(71 xxxxxxx

AUM^*	175,991,550 41%
of that, discretionary	175,991,550 41%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	241,415 26%
% High Net Worth	18.57% 134%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

176M 151M 126M 101M 75M 50M 25M

2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

4. A. Description of Your Advisory Firm: Sovereign Asset Management (“the firm,” “Sovereign,” or “the adviser”) is a dba for The Money Men Inc., a New York state corporation [IRS EIN 27-1596560], a corporation formed on January 5, 2010, and that applied to be registered to do business as an investment advisory firm with the state of New York in December 2016. In 2018, Sovereign became registered with the SEC. The Money Men Inc. has been an active company since January 2010 and also operates under the assumed name of Priority Financial Group. Mr. Ungaro is the Chief Executive Officer for The Money Men Inc. The firm’s two owners are Mr. David Ungaro and Mr. Kenneth Wolf, Co-Presidents of the firm. 4.B. Description of Advisory Services Offered Sovereign Asset Management offers portfolio management services for high net worth and other individuals, corporations’ and other businesses. The adviser will use industry leading software tools to create portfolio models based on each client's personal risk tolerance and asset allocation questionnaires. Sovereign will seek to create an optimizing portfolio for the client's specific needs and goals, one that seeks the target return balanced against the usual trade-off with risk and volatility. To reduce risk and volatility, we can use a variety of investments, which may include mutual funds, exchange traded funds, and unit investment trusts. 4.C. Client Tailored Services and Client Imposed Restriction

Sovereign’s advisory representative will meet with each client on an individual basis. To understand each client’s needs, goals, and objectives, the representative will use an in-depth fact-finding interview process to match goals with risk tolerance, based on a standard industry profile questionnaire. The adviser will seek information from each client to establish the applicable federal and state tax status, investment background and experience, time horizon, income and liquidity needs and investment objectives, while reviewing a client’s current assets and investment portfolio. As a fiduciary, an investment adviser is to make only those recommendations that demonstrably are in the client’s own best interests, which means that they, too, must be based on an individual’s stated and/ or established, individual needs, goals, risk tolerance and investment time horizon. The firm seeks to establish this personal dimension through a careful, fact-finding interview and discussions with each client. Clients may impose reasonable restrictions on the adviser’s discretion to invest in certain securities or types of securities if a client provides clear, written directions to that effect. 4.D. Wrap Fee Programs We do not participate in a wrap fee program in providing portfolio management services. 4. E. Client Assets Under Management As of December 31, 2022, the firm has $97,750,000 of assets under management on a discretionary basis.

SOVEREIGN ASSET MANAGEMENT

SOVEREIGN ASSET MANAGEMENT

PRIORITY FINANCIAL GROUP

THE MONEY MEN, INC.

Related Companies

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

SOVEREIGN ASSET MANAGEMENT SOVEREIGN ASSET MANAGEMENT PRIORITY FINANCIAL GROUP THE MONEY MEN, INC.

Related Companies

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

SOVEREIGN ASSET MANAGEMENT

SOVEREIGN ASSET MANAGEMENT

PRIORITY FINANCIAL GROUP

THE MONEY MEN, INC.