Sowell Management

CRD#127145
Investment Advisor Firm

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Overview

Sowell Management operates as an advisory firm located in North Little Rock, Arkansas. It handles $2.2 billion in total assets throughout 10,321 accounts, placing it among the largest firms in the nation by assets under management (AUM). It has a large group of 161 employees, including 81 financial advisors. Sowell Management is not a registered broker-dealer, meaning it is not able to buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are exchangable fiscal investments such as options, bonds and stocks.

Sowell Management manages 10,170 of its client assets in a discretionary manner. Discretionary management means that a portfolio manager makes buy and sell decisions for the client's account without needing client permission. The firm also oversees 151 non-discretionary accounts with a total of $13.4 million in assets. The firm oversees roughly $210,820 for every client account. The average financial advisor at Sowell Management manages around 127 client accounts.

Sowell Management's central office is located at 5320 Northshore Drive, North Little Rock, Arkansas 72118. It is legally allowed to serve investors across 49 U.S. states and territories.

Assets Under Management

$2.2 billion

Number of Advisors

81

Disclosures

No

Office Location

5320 Northshore Drive
North Little Rock, AR 72118

Sowell Management by the Numbers

Total Assets Under Management

$2.2 billion

National Average: $3.7 billion
Total Number of Employees

161

National Average: 29
Total Number of Accounts

10,321

National Average: 2,073
Average Account Size

$210.8 thousand

National Average: $1.8 million

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Products and Services

Sowell Management provides a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses and selection of other advisers. In the last fiscal year, the firm provided financial planning services to 51-100 of its clients. It does not sell products or offer services apart from investment advisory services to its investment advisory accounts. The firm also has a number of financial industry affiliations, including with a broker-dealer or securities dealer, accountant or accounting firm and lawyer or law firm.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees are based on which services are provided. Fees billed by the company can be comprised of some blend of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

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    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company does business with a number of different investors. The company caters to retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 10,321 accounts, Sowell Management's largest client is retail investors, though it also caters to 488 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its accounts are from outside of the U.S.

  • High-Net-Worth Individuals* - 9.4%
  • Other Individuals - 87.46%
  • Corporations - 3%
  • Charitable Organizations - 0.13%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Sowell Management does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Sowell Management

Stanley Rapert
North Little Rock, AR
Samuel Kornstein
Boston, MA
Brady Buskirk
Gig Harbor, WA
Dawn Santoriello
North Little Rock, AR
John Gathright
Little Rock, AR
Jessica Poynter
Little Rock, AR
Marilyn Evans
Albuquerque, NM
Miki Morrow
North Little Rock, AR
John Deshaw
North Little Rock, AR

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This content was compiled from the SEC and FINRA

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.