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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 operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 3 more. Their firm serves 1,392 clients with $610M in assets under management.

Sovereign Wealth Advisors LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
30 advisors
Number of Clients
1,392 clients
Average Client Portfolio
$436K average
Assets Under Management
$607.0M

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)

Sovereign Wealth Advisors offers investment management through several programs. The fees vary depending on the program:

  • Wrap Comprehensive and Comprehensive Portfolio Management: Maximum fee of 3.0% and 2.8% respectively.
  • Optimum Market Portfolios Program (OMP) – LPL: 2.50%
  • Personal Wealth Portfolios Program (PWP) – LPL: 2.50%
  • Model Wealth Portfolios Program (MWP) – LPL: 2.50%
  • Manager Access Select Program (MAS) – LPL: 3.00%
  • Guided Wealth Portfolios (GWP) – LPL: 1.35%
  • 55IP – Charles Schwab: 2.00%
View Full SEC Brochure

Location

3120 Southwest Frwy, Suite 500, Houston, TX, 77098

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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 4 mos
LPL Financial LLCBroker
October 2004 - Present · 21 yrs 7 mos
LPL Financial LLC
October 2004 - Present · 21 yrs 7 mos
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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