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Charles Fahy

Sovereign Wealth Advisors LLC
53 Years of Experience
Houston, TX
2 DisclosuresBroker
View SEC Summary
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Charles Fahy is a registered investment advisor at Sovereign Wealth Advisors LLC, based in Houston, TX, with 53 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 1,275 clients with $630M in assets under management.

Sovereign Wealth Advisors LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
1,275 clients
Average Client Portfolio
$490K average
Assets Under Management
$625.1M

Fee Structure

Minimum Investment:$5K
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum annual fee is 2.50% and is negotiable based on account size, complexity, and other factors. Sponsored platform programs may have different fee schedules ranging up to 2.95%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

24 Greenway Plaza, Suite 1895, Houston, TX, 77046

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 1990
Award / Judgment
Customer Dispute
February 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Charles is an Investment Advisor Representative (IAR) with Sovereign Wealth Advisors, LLC since 2015, dedicating about a quarter of his time. He also operates under the DBA Soveriegn Wealth Advisors for his LPL business, but spends no time on this activity.

Employment History
Current Registrations
Sovereign Wealth Advisors LLC
January 2020 - Present · 6 yrs 9 mos
LPL Financial LLCBroker
October 2004 - Present · 22 yrs
LPL Financial LLC
October 2004 - Present · 22 yrs
Previous Registrations
LPL Financial LLC
October 2020 - October 2022 · 2 yrs
Sovereign Wealth Advisors LLC
June 2015 - December 2019 · 4 yrs 6 mos
LPL Financial LLC
October 2004 - September 2016 · 11 yrs 11 mos
UBS Financial Services INC.
August 2000 - November 2004 · 4 yrs 3 mos
UBS Financial Services INC.Broker
August 2000 - November 2004 · 4 yrs 3 mos
J.C. Bradford & CO.Broker
April 1999 - August 2000 · 1 yr 4 mos
Cibc Oppenheimer CORP.Broker
September 1981 - April 1999 · 17 yrs 7 mos
E. F. Hutton & Company INCBroker
January 1973 - September 1981 · 8 yrs 8 mos
State Registrations6 states
FLGAPATNTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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