Sovereign Advisory Group guides accomplished financial advisors through the most consequential decision of their careers — breaking free from wirehouse constraints to build an independent practice owned entirely by you.
Sovereign Advisory Group is the only partner you need — from the confidential first call through the day you open your doors and beyond.
Legal review, client strategy, regulatory timing, and the operational sequencing that protects your book and your career.
Entity structuring, ADV preparation, state and SEC registration, custodial relationships, and firm branding — built right.
Custodial selection, CRM, financial planning, portfolio management, reporting — curated and integrated as a seamless ecosystem.
Policies, procedures, and ongoing compliance support designed for the independent RIA — from your compliance manual to annual reviews.
For advisors who want independence without operational overhead — the complete platform, technology, compliance, and back-office, fully managed.
Curated introductions to established independent firms, with advisory on structure, valuation, and cultural fit to maximize your outcome.
Every advisor's situation is different. We offer three distinct structures to match your goals, practice size, and appetite for firm management.
Complete formation, registration, technology, compliance, and operational setup — so you can focus on your clients while we build your firm.
Own your practice. We run it. Full infrastructure — technology, compliance, back-office — so you deliver an elite client experience without the overhead.
Curated introductions to vetted independent RIAs, with advisory support on valuation, cultural fit, deal structure, and economics.
The advisors who thrive in independence aren't just breaking away from a firm — they're breaking toward ownership, legacy, and the freedom to serve their clients without compromise.
Sovereign Advisory Group was founded by an advisor, for advisors — with the rare combination of legal acumen, credentialed expertise, and firsthand experience building a premier independent wealth practice.
Unlike platform providers who see you as AUM, we advise you as a fellow practitioner. Our founder holds a J.D. — meaning your breakaway is reviewed with the same legal precision applied to complex transactions. Your firm is structured with the same tax intelligence applied to your clients' most sophisticated planning. Your compliance is built by someone who understands what regulators actually look for. And your enterprise value is architected from day one by a Certified Exit Planning Advisor who thinks about the end game before the first filing is made.
Your employment agreement, non-solicitation provisions, and client protocol are analyzed with J.D.-level precision — so you move with confidence, not risk.
We work with a select number of advisors at a time. You receive direct senior counsel — not a junior associate or an onboarding template.
Our founder runs Braintrust Capital, a private wealth advisory firm. We advise on independence from the inside — because we practice it ourselves.
As a CEPA®, we structure your firm from inception with enterprise value and eventual exit in mind — building an asset, not just a practice.
Every conversation is strictly confidential. We understand the sensitivity of the breakaway decision and protect your timeline and intentions above all else.
From first contact to firm launch, Sovereign Advisory Group manages every detail — so you stay focused on your clients while we build your future.
A private, no-obligation conversation to understand your practice, goals, and timeline.
Employment agreement analysis, regulatory review, and a customized breakaway strategy.
Entity formation, ADV filing, custodial selection, compliance, and technology — designed and implemented.
Client communications, account transfer, and a coordinated launch maximizing retention.
Post-launch support, compliance reviews, technology optimization, and strategic advisory as you grow.
Whether you're actively planning a breakaway or simply exploring what independence could look like for your practice, we invite you to a private, no-obligation conversation.
All communications are strictly confidential · No obligation · Austin, Texas
From the first confidential conversation through your firm's growth and eventual exit, Sovereign Advisory Group provides the expertise, infrastructure, and strategic counsel to make your independence not just possible — but exceptional.
Legal review of your employment agreement, client communication strategy, regulatory timing, and the operational sequencing that protects your book and career.
Entity structuring, ADV preparation, SEC/state registration, custodial relationships, banking setup, and firm branding — built right from the ground up.
Custodial platform selection, CRM, financial planning software, portfolio management, reporting, and billing — curated and integrated into a seamless ecosystem.
Policies, procedures, and ongoing compliance support designed for the independent RIA — built by someone who understands what regulators actually look for.
For advisors who want independence without operational overhead — the complete platform including technology, compliance, and back-office, fully managed by us.
Curated introductions to established independent RIAs, with advisory on valuation, cultural fit, deal structure, and economics to maximize your outcome.
Schedule a private, no-obligation call to discuss which services are right for your situation.
From the first confidential conversation to day one of your independent practice.
The decision to leave a wirehouse is the most consequential career move an advisor makes. It is also the most legally, operationally, and personally complex. Sovereign Advisory Group's breakaway advisory service is the most comprehensive, legally intelligent transition service in the independent space — led by a J.D. who has navigated these complexities firsthand.
The window between your decision and your departure is the most legally and operationally sensitive period of your career. A misstep in your employment agreement review, your client communication strategy, or your regulatory timing can result in litigation, client loss, or regulatory sanction. This is not a process to navigate with a checklist from the internet.
"Your employment agreement is a legal document. It should be reviewed by someone trained to read one — not a former branch manager with a framework."
Every step is deliberate. Every communication is reviewed. Every filing is timed. Here is how we guide your breakaway from first conversation through successful launch.
A private, no-obligation conversation to understand your current situation, practice profile, book composition, and transition goals. Nothing is committed at this stage — only clarity is gained. This call is protected and does not appear in any firm records.
Your employment agreement, non-solicitation provisions, confidentiality clauses, and any equity or deferred compensation arrangements are reviewed with J.D.-level precision. We identify risks, constraints, and opportunities — and build your strategy around them.
We build a custom breakaway strategy: departure date selection, team coordination protocols, client prioritization, communication sequencing, and account transfer strategy — all designed to maximize client retention and minimize legal exposure.
Simultaneous with your legal review, we begin building your new firm's regulatory and operational infrastructure — so that on departure day, your RIA is registered, your technology is live, and your compliance is in place.
Coordinated, precise, and legally sound departure — with client communications dispatched, accounts ready to transfer, and your new firm fully operational from the moment you walk out the door.
Risk monitoring, client transition follow-up, account transfer management, and ongoing counsel as your former firm responds to your departure. We stay with you through the full transition window.
Schedule a private, no-obligation call. We'll discuss your situation confidentially and help you understand exactly what your breakaway would look like.
Strict confidentiality guaranteed · No obligation · Austin, Texas
The complete architecture of your independent firm — built right, built to last.
Forming a Registered Investment Adviser is far more than filing paperwork. It is the structural foundation of everything your practice will become — your legal entity, your regulatory standing, your custodial relationships, and your brand. We design and build that foundation with the precision your future deserves.
We handle every dimension of your RIA's formation — legal, regulatory, operational, and brand — so you launch with institutional quality from day one.
| Consideration | State-Registered | SEC-Registered |
|---|---|---|
| AUM Threshold | Under $100M | $100M+ |
| Regulator | State Securities Division | SEC |
| Multi-state flexibility | Limited | Nationwide |
| Institutional credibility | Strong | Strongest |
| Filing complexity | Moderate | Moderate-High |
We determine the optimal registration path for your specific AUM, growth trajectory, and client geography — and manage the filing process end to end.
Business entity selection, formation, and operating agreements structured to optimize your tax position, liability protection, and future equity events including partner additions or firm sale.
Complete preparation and filing of your Form ADV Parts 1 and 2, investment advisory agreements, and all required regulatory disclosures — drafted to reflect your actual business model and protect you at examination.
Custodial platform evaluation, selection, and onboarding — including clearing relationships, technology integration, fee structures, and transition support for incoming client accounts.
Investment advisory agreement design, fee schedule structuring, and client-facing disclosure documents — crafted to be competitive, defensible, and clearly aligned with your value proposition.
Guidance on E&O coverage, professional liability, cybersecurity, and business interruption insurance — including carrier selection and coverage benchmarking for firms of your size and service model.
Firm naming, brand identity coordination, website strategy, and client-facing marketing materials — ensuring your new firm projects the institutional quality your clients expect from day one.
Let's design the structure of your independent practice. Schedule a confidential consultation to begin.
Institutional-grade technology, configured precisely for your practice.
The wirehouse provided you a technology stack. Now you get to choose your own — and for the first time, the choice will be made in your interest, not your employer's. We evaluate, select, integrate, and implement every layer of your technology ecosystem so you never have to compromise on tools again.
We evaluate and configure best-in-class solutions at every layer — then integrate them into a seamless, advisor-led experience that serves both you and your clients.
Evaluation and selection among leading independent custodians — Schwab Advisor Services, Fidelity Institutional, Pershing, and others — based on your practice profile, client demographics, and product needs.
Client relationship management platform selection, configuration, and data migration — including Salesforce Financial Services Cloud, Redtail, Wealthbox, and others optimized for RIA workflows.
Financial planning software selection from eMoney, MoneyGuidePro, RightCapital, and others — configured to support your planning philosophy and client presentation standards.
Portfolio management and rebalancing platform setup — including Orion, Black Diamond, Tamarac, or Riskalyze — with model management, trading workflows, and performance reporting integration.
Client-facing and advisor-facing performance reporting — selected, customized, and branded to deliver the institutional-quality experience your clients expect from a premier independent firm.
Advisory fee billing system configuration — including billing schedules, invoice generation, custodial fee deduction setup, and billing reconciliation workflows.
Client-facing digital experience setup — including secure document vault, account aggregation, performance reporting access, and advisor communication channels.
Cybersecurity infrastructure, data encryption, email archiving, and compliance surveillance technology — meeting SEC regulatory standards and protecting your clients' most sensitive information.
Platform integration, API connections, and workflow automation — ensuring your technology stack functions as a unified ecosystem rather than disconnected point solutions.
Our proprietary integrated platform consolidates CRM, financial planning, tax planning, and estate planning into a single unified environment — included in the Sovereign Platform annual fee after initial setup, and available as a standalone add-on for WealthTech-only engagements.
Purpose-built client relationship management for RIA workflows — contact management, pipeline tracking, meeting preparation, communication logs, task automation, and household-level relationship views. Designed around the way an independent advisor actually works, not repurposed enterprise software.
Comprehensive financial planning covering goal-based planning, retirement projections, cash flow analysis, Monte Carlo simulation, Social Security optimization, and client-facing plan presentation — built around the planning philosophy of a fiduciary advisor, not a product-selling one.
Integrated tax analysis covering income tax projection, Roth conversion modeling, tax-loss harvesting coordination, charitable giving strategies, qualified opportunity zone analysis, and multi-year tax scenario comparison — turning every financial plan into a tax-optimized one.
Estate planning workflow tools covering beneficiary analysis, trust structure modeling, asset titling review, estate tax projection, gifting strategy analysis, and coordination documents for outside estate counsel — ensuring every client's wealth transfer strategy is as well-engineered as their portfolio.
Let's design your ideal technology ecosystem. Schedule a consultation to discuss your practice needs and build your perfect stack.
Institutional rigor without institutional friction.
Compliance is the foundation of every independent RIA — and the area where most first-time founders underinvest. We build your compliance infrastructure from the ground up, with the legal precision of a J.D. and the practitioner perspective of someone who runs an independent RIA. Your compliance will be designed to pass examination, not just survive it.
Most compliance manuals are templates. Ours are documents — built to reflect the specific nature of your practice, your client base, your investment approach, and your operational model. Regulators can tell the difference.
Regulatory requirements evolve. Your practice evolves. Your compliance program must evolve with both. We offer ongoing compliance support packages designed to keep your program current, complete, and examination-ready at all times.
Compliance built by a J.D. is compliance that reads like a legal document — because it is one. Examiners notice.
Don't let compliance be an afterthought. Let's build your program right — from the first day you open your doors.
Complete independence. Zero operational overhead.
For advisors who want to own their practice without running a firm, the Sovereign Platform provides the complete infrastructure — technology, compliance, back-office operations, and ongoing support — fully managed by our team. You own your clients, your brand, and your economics. We handle everything else.
The Sovereign Platform is a complete operating infrastructure for your independent practice — managed by our team so you can focus entirely on your clients and your growth.
Your RIA entity, ADV filing, and registration handled in full — so you are properly structured and legally sound from day one.
Complete compliance policies, procedures, ongoing monitoring, annual reviews, and regulatory support — managed by our team throughout the year.
CRM, financial planning, portfolio management, performance reporting, and client portal — all configured, integrated, and maintained by us.
Custodial platform selection and integration — with ongoing support for account setup, transfers, trading, and reporting.
Fee billing, account reconciliation, performance calculation, and operational workflows — executed by our team on your behalf.
Quarterly reviews, practice development counsel, and strategic advisory — keeping your firm on a deliberate growth trajectory.
"The Sovereign Platform is not a custodian, not a broker-dealer, and not a firm you work for. You own your practice entirely — your clients, your brand, your economics. We provide the infrastructure that makes it operationally seamless."
| Consideration | Build It Yourself | Sovereign Platform |
|---|---|---|
| Time to launch | 90–180 days | 30–60 days |
| Technology selection & setup | Your responsibility | Fully managed |
| Compliance program | Build and maintain yourself | Built and managed for you |
| Back-office operations | Hire or outsource yourself | Included |
| Ongoing regulatory updates | Monitor and implement yourself | Handled by our team |
| Client ownership | 100% yours | 100% yours |
| Brand identity | Fully custom | Fully custom |
| Strategic advisory | Ad hoc | Ongoing, included |
Schedule a confidential consultation to learn how the Sovereign Platform can support your transition to independence.
The right partner. The right deal. The right moment.
Not every advisor's path to independence runs through a solo RIA launch. For some, the optimal move is joining an established independent firm — or acquiring one. Our Strategic M&A service provides curated introductions, rigorous due diligence advisory, and deal structure counsel to ensure you find the right fit and transact at maximum value.
Whether you are joining an established firm, acquiring a practice, or exploring a merger of equals, the quality of your advisory at every stage determines the quality of your outcome. We provide senior-level counsel from first introduction through closing.
For advisors who want independence without a solo launch — we identify and introduce established firms whose culture, service model, technology, and economics align with yours. You arrive as a partner, not an employee.
For established independent advisors looking to grow inorganically — we identify acquisition candidates, advise on valuation and structure, and guide the transaction from LOI through closing and integration.
For advisors approaching succession or seeking liquidity — we advise on firm valuation, identify strategic partners or buyers, and structure a transaction that maximizes your enterprise value and protects your clients.
"As a Certified Exit Planning Advisor, we think about your firm's value and your eventual transaction long before most advisors consider it. The best M&A outcomes are built years in advance — not negotiated in weeks."
We assess your practice profile — AUM, revenue, client demographics, service model, and growth trajectory — and provide a market valuation based on current RIA transaction comparables. This gives you a foundation for every decision that follows.
Before any introductions, we define what the right partner looks like — culture, service model, technology, team, economics, geography, client demographics, and growth vision. Fit is the most important and most underweighted variable in any deal.
We make targeted, confidential introductions from our network of independent RIAs, family offices, and strategic partners — eliminating the noise and connecting you only with firms that genuinely meet your criteria.
We design the due diligence process, manage information flow, and advise on deal structure — including purchase price, earnouts, equity arrangements, employment terms, and client transition protocols.
We support the final stages of transaction close — document review, regulatory notifications, client communications — and provide post-close integration counsel to ensure a smooth transition for your team and clients.
Whether you're exploring a merger, acquisition, or firm sale, let's discuss your options in a confidential, no-obligation setting.
All conversations strictly confidential · Austin, Texas
Whether you're actively planning a breakaway, exploring what independence could look like, or evaluating a strategic M&A opportunity — every conversation with Sovereign Advisory Group begins privately, without obligation, and without risk.
We work with a select number of advisors at a time. Reach out directly — you'll speak with Roger, not a business development associate.
All information is kept strictly confidential. We will never contact your firm or share your inquiry.
🔒 Strictly confidential. We will never contact your firm or disclose your inquiry to any third party.
Your inquiry has been received. Roger will personally reach out within one business day — typically the same day. All communications will be through your personal contact information and are strictly confidential.
Sovereign Advisory Group is headquartered in Austin, Texas — and serves financial advisors and their teams across the United States.
Phone: 210-882-9880
Email: hello@sovereignria.com
In-person consultations available in Austin. All other consultations conducted via secure video conference or phone.