CHIEF COMPLIANCE OFFICER

0001846175-22-000004.txt : 20221114 0001846175-22-000004.hdr.sgml : 20221114 20221114130919 ACCESSION NUMBER: 0001846175-22-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221114 DATE AS OF CHANGE: 20221114 EFFECTIVENESS DATE: 20221114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sovereign Financial Group, Inc. CENTRAL INDEX KEY: 0001846175 IRS NUMBER: 200093943 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20792 FILM NUMBER: 221383139 BUSINESS ADDRESS: STREET 1: 25 WEST BROAD STREET, SUITE 100 CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: (203) 883-6006 MAIL ADDRESS: STREET 1: 25 WEST BROAD STREET, SUITE 100 CITY: STAMFORD STATE: CT ZIP: 06902 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001846175 XXXXXXXX 09-30-2022 09-30-2022 Sovereign Financial Group, Inc.

25 WEST BROAD STREET, SUITE 100 STAMFORD CT 06902

13F HOLDINGS REPORT 028-20792 N JOHN KOCHERSPERGER CHIEF COMPLIANCE OFFICER (203) 883-6006 JOHN KOCHERSPERGER STAMFORD CT 11-14-2022 0 204 246546 false INFORMATION TABLE 2 13F_Sovereign_2022Q3.xml SPDR S&P 500 ETF TR TR UNIT 78462F103 14057 39355 SH SOLE 0 0 39355 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 13819 380056 SH SOLE 0 0 380056 ISHARES TR CORE S&P500 ETF 464287200 8285 23100 SH SOLE 0 0 23100 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 7531 100657 SH SOLE 0 0 100657 VANGUARD INDEX FDS GROWTH ETF 922908736 7278 34020 SH SOLE 0 0 34020 APPLE INC COM 037833100 7120 51523 SH SOLE 0 0 51523 INVESCO QQQ TR UNIT SER 1 46090E103 6796 25430 SH SOLE 0 0 25430 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 6778 142004 SH SOLE 0 0 142004 ALPHABET INC CAP STK CL C 02079K107 6192 64396 SH SOLE 0 0 64396 VANGUARD INDEX FDS VALUE ETF 922908744 5953 48208 SH SOLE 0 0 48208 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 5662 117689 SH SOLE 0 0 117689 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4673 14234 SH SOLE 0 0 14234 UNITED PARCEL SERVICE INC CL B 911312106 4480 27732 SH SOLE 0 0 27732 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3643 99840 SH SOLE 0 0 99840 VANGUARD INDEX FDS SMALL CP ETF 922908751 3523 20610 SH SOLE 0 0 20610 ALPHABET INC CAP STK CL A 02079K305 3244 33911 SH SOLE 0 0 33911 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 3198 70926 SH SOLE 0 0 70926 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3145 33145 SH SOLE 0 0 33145 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 2875 39963 SH SOLE 0 0 39963 VANGUARD BD INDEX FDS INTERMED TERM 921937819 2875 39120 SH SOLE 0 0 39120 SOUTHERN CO COM 842587107 2779 40875 SH SOLE 0 0 40875 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 2727 48869 SH SOLE 0 0 48869 VANGUARD WORLD FD MEGA GRWTH IND 921910816 2718 15593 SH SOLE 0 0 15593 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 2554 65689 SH SOLE 0 0 65689 ISHARES TR TIPS BD ETF 464287176 2216 21129 SH SOLE 0 0 21129 MICROSOFT CORP COM 594918104 2026 8697 SH SOLE 0 0 8697 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 2020 14948 SH SOLE 0 0 14948 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 1924 32888 SH SOLE 0 0 32888 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 1903 28164 SH SOLE 0 0 28164 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 1803 9739 SH SOLE 0 0 9739 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1798 24209 SH SOLE 0 0 24209 GENERAL MLS INC COM 370334104 1797 23460 SH SOLE 0 0 23460 ISHARES TR ISHS 1-5YR INVS 464288646 1789 36301 SH SOLE 0 0 36301 ISHARES TR ESG AWR MSCI USA 46435G425 1648 20755 SH SOLE 0 0 20755 ISHARES TR CORE MSCI EAFE 46432F842 1647 31265 SH SOLE 0 0 31265 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1632 4062 SH SOLE 0 0 4062 CONSOLIDATED EDISON INC COM 209115104 1631 19017 SH SOLE 0 0 19017 VANGUARD WELLINGTON FD US VALUE FACTR 921935805 1521 17510 SH SOLE 0 0 17510 ISHARES TR CORE US AGGBD ET 464287226 1468 15239 SH SOLE 0 0 15239 ISHARES TR CORE S&P US VLU 464287663 1452 23191 SH SOLE 0 0 23191 MASTERCARD INCORPORATED CL A 57636Q104 1444 5080 SH SOLE 0 0 5080 SPDR SER TR PRTFLO S&P500 GW 78464A409 1432 28579 SH SOLE 0 0 28579 ISHARES TR MSCI USA MIN VOL 46429B697 1419 21468 SH SOLE 0 0 21468 ISHARES TR CORE S&P MCP ETF 464287507 1398 6376 SH SOLE 0 0 6376 FIRST TR EXCHNG TRADED FD VI US EQT DEEP DUFR 33740F771 1381 42258 SH SOLE 0 0 42258 FIRST TR EXCHNG TRADED FD VI US EQT BUFFER 33740F763 1353 40503 SH SOLE 0 0 40503 ISHARES TR RESIDENTIAL MULT 464288562 1334 18569 SH SOLE 0 0 18569 VANGUARD INDEX FDS MID CAP ETF 922908629 1261 6709 SH SOLE 0 0 6709 ISHARES TR CORE S&P SCP ETF 464287804 1217 13962 SH SOLE 0 0 13962 BK OF AMERICA CORP COM 060505104 1210 40071 SH SOLE 0 0 40071 EXXON MOBIL CORP COM 30231G102 1193 13662 SH SOLE 0 0 13662 ISHARES TR CORE S&P US GWT 464287671 1190 14842 SH SOLE 0 0 14842 CHURCH & DWIGHT CO INC COM 171340102 1130 15812 SH SOLE 0 0 15812 KIMBERLY-CLARK CORP COM 494368103 1108 9846 SH SOLE 0 0 9846 AMAZON COM INC COM 023135106 1071 9481 SH SOLE 0 0 9481 NEXPOINT DIVERSIFIED REL ET COM NEW 65340G205 1018 81090 SH SOLE 0 0 81090 HOME DEPOT INC COM 437076102 1008 3653 SH SOLE 0 0 3653 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 1000 20305 SH SOLE 0 0 20305 WISDOMTREE TR EUROPE SMCP DV 97717W869 998 22068 SH SOLE 0 0 22068 VISA INC COM CL A 92826C839 978 5507 SH SOLE 0 0 5507 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 964 12022 SH SOLE 0 0 12022 HIGHLAND GLOBAL ALLOCATION F COM 43010T104 956 109685 SH SOLE 0 0 109685 WISDOMTREE TR EMG MKTS SMCAP 97717W281 955 23995 SH SOLE 0 0 23995 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 937 18967 SH SOLE 0 0 18967 SPDR SER TR PORTFOLIO S&P600 78468R853 935 27451 SH SOLE 0 0 27451 ISHARES TR CORE TOTAL USD 46434V613 907 20379 SH SOLE 0 0 20379 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 900 17938 SH SOLE 0 0 17938 CSX CORP COM 126408103 898 33704 SH SOLE 0 0 33704 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 897 12573 SH SOLE 0 0 12573 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 885 18384 SH SOLE 0 0 18384 DOMINION ENERGY INC COM 25746U109 867 12543 SH SOLE 0 0 12543 BRISTOL-MYERS SQUIBB CO COM 110122108 847 11910 SH SOLE 0 0 11910 HORMEL FOODS CORP COM 440452100 840 18476 SH SOLE 0 0 18476 ALPS ETF TR OSHARES US QUALT 00162Q387 823 22241 SH SOLE 0 0 22241 UNITEDHEALTH GROUP INC COM 91324P102 812 1608 SH SOLE 0 0 1608 ISHARES TR ISHARES BIOTECH 464287556 791 6761 SH SOLE 0 0 6761 SPDR GOLD TR GOLD SHS 78463V107 791 5113 SH SOLE 0 0 5113 SPDR SER TR PORTFOLIO S&P500 78464A854 772 18381 SH SOLE 0 0 18381 ISHARES TR US TREAS BD ETF 46429B267 768 33742 SH SOLE 0 0 33742 VANGUARD WORLD FDS UTILITIES ETF 92204A876 765 5380 SH SOLE 0 0 5380 ISHARES TR AGGRES ALLOC ETF 464289859 733 13216 SH SOLE 0 0 13216 VALERO ENERGY CORP COM 91913Y100 725 6784 SH SOLE 0 0 6784 PFIZER INC COM 717081103 717 16381 SH SOLE 0 0 16381 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 697 2610 SH SOLE 0 0 2610 KELLOGG CO COM 487836108 689 9896 SH SOLE 0 0 9896 GENERAL ELECTRIC CO COM NEW 369604301 680 10988 SH SOLE 0 0 10988 VICTORY PORTFOLIOS II VICTORYSHS INTRM 92647N527 672 14960 SH SOLE 0 0 14960 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 666 14072 SH SOLE 0 0 14072 RAYTHEON TECHNOLOGIES CORP COM 75513E101 660 8057 SH SOLE 0 0 8057 COSTCO WHSL CORP NEW COM 22160K105 640 1356 SH SOLE 0 0 1356 ISHARES TR EAFE VALUE ETF 464288877 611 15862 SH SOLE 0 0 15862 JOHNSON & JOHNSON COM 478160104 605 3706 SH SOLE 0 0 3706 ISHARES TR MODERT ALLOC ETF 464289875 602 16454 SH SOLE 0 0 16454 PEPSICO INC COM 713448108 601 3681 SH SOLE 0 0 3681 DEERE & CO COM 244199105 599 1794 SH SOLE 0 0 1794 ISHARES TR EAFE GRWTH ETF 464288885 599 8253 SH SOLE 0 0 8253 ARK ETF TR INNOVATION ETF 00214Q104 595 15765 SH SOLE 0 0 15765 ALLSTATE CORP COM 020002101 577 4634 SH SOLE 0 0 4634 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 574 13473 SH SOLE 0 0 13473 CALIFORNIA WTR SVC GROUP COM 130788102 562 10661 SH SOLE 0 0 10661 NEXTERA ENERGY INC COM 65339F101 561 7161 SH SOLE 0 0 7161 AT&T INC COM 00206R102 548 35746 SH SOLE 0 0 35746 INVESTMENT MANAGERS SER TR I AXS SHORT INNOV 46144X628 541 8750 SH SOLE 0 0 8750 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 518 3209 SH SOLE 0 0 3209 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 517 27812 SH SOLE 0 0 27812 UNITED STS NAT GAS FD LP UNIT PAR 912318300 496 21200 SH SOLE 0 0 21200 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 480 3461 SH SOLE 0 0 3461 WP CAREY INC COM 92936U109 475 6806 SH SOLE 0 0 6806 COCA COLA CO COM 191216100 462 8239 SH SOLE 0 0 8239 ISHARES INC MSCI EMERG MRKT 464286533 460 9068 SH SOLE 0 0 9068 ISHARES INC CORE MSCI EMKT 46434G103 451 10496 SH SOLE 0 0 10496 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 449 1564 SH SOLE 0 0 1564 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 447 7941 SH SOLE 0 0 7941 PROSHARES TR II ULTA BLMBG 2017 74347Y888 438 16665 SH SOLE 0 0 16665 ISHARES TR RUS 1000 VAL ETF 464287598 429 3156 SH SOLE 0 0 3156 PROSHARES TR II ULTRA BLOOMBERG 74347Y870 424 7900 SH SOLE 0 0 7900 VERIZON COMMUNICATIONS INC COM 92343V104 422 11113 SH SOLE 0 0 11113 JPMORGAN CHASE & CO COM 46625H100 421 4032 SH SOLE 0 0 4032 ISHARES U S ETF TR BLACKROCK SHORT 46431W838 420 8453 SH SOLE 0 0 8453 GOLDMAN SACHS ETF TR ACCESS HIG YLD 381430453 416 10268 SH SOLE 0 0 10268 SPDR SER TR PRTFLO S&P500 HI 78468R788 416 11734 SH SOLE 0 0 11734 J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 46641Q332 413 8052 SH SOLE 0 0 8052 ISHARES TR MSCI USA MMENTM 46432F396 412 3140 SH SOLE 0 0 3140 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 403 8264 SH SOLE 0 0 8264 ISHARES TR CORE HIGH DV ETF 46429B663 403 4413 SH SOLE 0 0 4413 ISHARES TR MSCI USA SMCP MN 46435G433 402 12603 SH SOLE 0 0 12603 ISHARES TR RUS 1000 GRW ETF 464287614 395 1877 SH SOLE 0 0 1877 OTIS WORLDWIDE CORP COM 68902V107 391 6132 SH SOLE 0 0 6132 PROCTER AND GAMBLE CO COM 742718109 387 3066 SH SOLE 0 0 3066 STARBUCKS CORP COM 855244109 386 4578 SH SOLE 0 0 4578 ABRDN GOLD ETF TRUST PHYSCL GOLD SHS 00326A104 386 24228 SH SOLE 0 0 24228 ISHARES TR MSCI EAFE ETF 464287465 380 6788 SH SOLE 0 0 6788 ISHARES TR RUS MDCP VAL ETF 464287473 361 3757 SH SOLE 0 0 3757 CHEVRON CORP NEW COM 166764100 359 2498 SH SOLE 0 0 2498 INTERNATIONAL BUSINESS MACHS COM 459200101 359 3018 SH SOLE 0 0 3018 COMMERCIAL METALS CO COM 201723103 355 10004 SH SOLE 0 0 10004 SPDR SER TR PORTFOLIO S&P400 78464A847 354 9187 SH SOLE 0 0 9187 VANGUARD STAR FDS VG TL INTL STK F 921909768 352 7687 SH SOLE 0 0 7687 ISHARES TR BROAD USD HIGH 46435U853 342 10180 SH SOLE 0 0 10180 VANGUARD INDEX FDS TOTAL STK MKT 922908769 339 1887 SH SOLE 0 0 1887 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 336 8013 SH SOLE 0 0 8013 VANGUARD ADMIRAL FDS INC SMLCP 600 VAL 921932778 336 2355 SH SOLE 0 0 2355 MCCORMICK & CO INC COM NON VTG 579780206 329 4622 SH SOLE 0 0 4622 FS KKR CAP CORP COM 302635206 328 19356 SH SOLE 0 0 19356 PROSHARES TR S&P 500 DV ARIST 74348A467 327 4090 SH SOLE 0 0 4090 MERCK & CO INC COM 58933Y105 322 3741 SH SOLE 0 0 3741 ISHARES TR MSCI EMG MKT ETF 464287234 310 8894 SH SOLE 0 0 8894 ISHARES TR 1 3 YR TREAS BD 464287457 310 3812 SH SOLE 0 0 3812 MCDONALDS CORP COM 580135101 305 1321 SH SOLE 0 0 1321 ALTRIA GROUP INC COM 02209S103 305 7552 SH SOLE 0 0 7552 SELECT SECTOR SPDR TR ENERGY 81369Y506 302 4197 SH SOLE 0 0 4197 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 300 5761 SH SOLE 0 0 5761 ISHARES TR RUSSELL 2000 ETF 464287655 296 1797 SH SOLE 0 0 1797 BLACKSTONE INC COM 09260D107 295 3525 SH SOLE 0 0 3525 HUBBELL INC COM 443510607 293 1314 SH SOLE 0 0 1314 CVS HEALTH CORP COM 126650100 289 3025 SH SOLE 0 0 3025 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 287 7599 SH SOLE 0 0 7599 ISHARES TR CORE 1 5 YR USD 46432F859 284 6154 SH SOLE 0 0 6154 AMERICAN ELEC PWR CO INC COM 025537101 281 3245 SH SOLE 0 0 3245 PHILIP MORRIS INTL INC COM 718172109 280 3369 SH SOLE 0 0 3369 TARGET CORP COM 87612E106 277 1867 SH SOLE 0 0 1867 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740F714 277 8947 SH SOLE 0 0 8947 PUBLIC STORAGE COM 74460D109 276 942 SH SOLE 0 0 942 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 275 5707 SH SOLE 0 0 5707 SIGMA LITHIUM CORPORATION COM 826599102 272 10000 SH SOLE 0 0 10000 EPAM SYS INC COM 29414B104 271 747 SH SOLE 0 0 747 CATERPILLAR INC COM 149123101 270 1643 SH SOLE 0 0 1643 EVERSOURCE ENERGY COM 30040W108 268 3439 SH SOLE 0 0 3439 ISHARES TR US INFRASTRUC 46435U713 261 8096 SH SOLE 0 0 8096 IDEXX LABS INC COM 45168D104 260 797 SH SOLE 0 0 797 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 252 5075 SH SOLE 0 0 5075 CARRIER GLOBAL CORPORATION COM 14448C104 252 7093 SH SOLE 0 0 7093 REALTY INCOME CORP COM 756109104 250 4304 SH SOLE 0 0 4304 ESSEX PPTY TR INC COM 297178105 249 1029 SH SOLE 0 0 1029 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 249 2099 SH SOLE 0 0 2099 AMGEN INC COM 031162100 245 1088 SH SOLE 0 0 1088 COLGATE PALMOLIVE CO COM 194162103 235 3349 SH SOLE 0 0 3349 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740F722 233 6856 SH SOLE 0 0 6856 DISNEY WALT CO COM 254687106 232 2457 SH SOLE 0 0 2457 INTEL CORP COM 458140100 231 8982 SH SOLE 0 0 8982 MICRON TECHNOLOGY INC COM 595112103 230 4597 SH SOLE 0 0 4597 CISCO SYS INC COM 17275R102 230 5748 SH SOLE 0 0 5748 NEW JERSEY RES CORP COM 646025106 228 5900 SH SOLE 0 0 5900 PACER FDS TR TRENDP US LAR CP 69374H105 220 5837 SH SOLE 0 0 5837 ABBVIE INC COM 00287Y109 217 1618 SH SOLE 0 0 1618 DOCUSIGN INC COM 256163106 215 4017 SH SOLE 0 0 4017 VANGUARD WORLD FDS INF TECH ETF 92204A702 213 692 SH SOLE 0 0 692 RINGCENTRAL INC CL A 76680R206 211 5280 SH SOLE 0 0 5280 FIDELITY COVINGTON TRUST LOW VOLITY ETF 316092824 210 5000 SH SOLE 0 0 5000 NORFOLK SOUTHN CORP COM 655844108 210 1003 SH SOLE 0 0 1003 SPDR SER TR S&P DIVID ETF 78464A763 210 1887 SH SOLE 0 0 1887 ISHARES TR GRWT ALLOCAT ETF 464289867 209 4657 SH SOLE 0 0 4657 TEXAS INSTRS INC COM 882508104 206 1334 SH SOLE 0 0 1334 DIMENSIONAL ETF TRUST INTERNATNAL VAL 25434V807 201 7810 SH SOLE 0 0 7810 FORD MTR CO DEL COM 345370860 153 13662 SH SOLE 0 0 13662 CALAMOS CONV OPPORTUNITIES & SH BEN INT 128117108 136 14030 SH SOLE 0 0 14030 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 130 10517 SH SOLE 0 0 10517 HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 122 50000 SH SOLE 0 0 50000 SIRIUS XM HOLDINGS INC COM 82968B103 90 15760 SH SOLE 0 0 15760 SEELOS THERAPEUTICS INC COM 81577F109 77 75000 SH SOLE 0 0 75000 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 70 13776 SH SOLE 0 0 13776 OPKO HEALTH INC COM 68375N103 38 20000 SH SOLE 0 0 20000 WESTERN ASSET MORTGAGE CAPIT NOTE 6.750%10/0 95790DAA3 35 35000 PRN SOLE 0 0 35000 TELLURIAN INC NEW COM 87968A104 28 11600 SH SOLE 0 0 11600