To “walk the walk” as they say, it takes dedicated people. A company is only as strong as its employees, and it only accomplishes its mission through teamwork and a commitment to excellence. A truly successful firm needs people who strive for innovative ways to work more effectively and efficiently. The staff of Sowell Management is committed to providing our clients with superior service.
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The Sowell Team
Bill Sowell | CHIEF EXECUTIVE OFFICER / President
William “Bill” Sowell began his career in the financial services industry in 1990 and quickly became a top producer within the industry. In 1995, he began a fee-only practice now known as Sowell Management, which services a broad spectrum of some of the top Independent Advisor Representatives (IARs), Registered Investment Advisors (RIAs) and independent broker-dealers in the United States. As CEO and a member of the firm’s investment committee, Bill’s primary role is to oversee the sustainable and continued growth of the firm. Bill has strong roots in the community. He has served as past president of the Rotary Club of Little Rock and was named a Paul Harris Fellow. He has been a board member and is past chair of Leadership Greater Little Rock and is a past board member of numerous other nonprofit organizations. Bill is married to Cindy and has two children – Abby and Evan. He lives in North Little Rock, Ark.
Cindy Sowell | executive vice president
Cindy Sowell has been with Sowell Management since 2001 and has served in several key roles as the company has expanded. Now, in addition to her active management of the company, Cindy oversees human resources. She also plans and coordinates the firm’s corporate meetings, conferences and special events. Prior to joining Sowell, Cindy worked for Pacific Life Insurance as a corporate meeting planner. Her experience working with the corporate staff and financial advisors at Pacific Life has been an asset to her daily interaction with Sowell’s financial advisors. In her spare time, Cindy enjoys spending time with her family, including her dog Tess, and exercising. Cindy is married to Bill and has two step-children, Abby and Evan. She lives in North Little Rock, Arkansas.
Chuck Hicks | CHIEF CUSTOMER OFFICER
Charles “Chuck” C. Hicks, Jr., loves many things in life, but his respect and love of Sowell Management’s advisors is evident every single day. He naturally leads the Sowell customer care team and indeed shares this vision to all in the company. As Chief Customer Officer, we’re ensuring Sowell is positioned to provide our advisor partners, and their valued clients, the first-class service model they expect and deserve. Chuck began his career in financial services with Sowell as a senior vice president of business development before being promoted to chief operating officer in 2015 and president in 2017. Chuck received a Bachelor of Science in Business Administration from Henderson State University with a dual major in management and marketing. Upon graduation, he began his professional career with a Fortune 200 manufacturing company. Chuck spent 10 years with the organization and upon his departure had been elevated to vice president and general manager of one of the company’s most profitable divisions. In the mid-1990s, he started a consulting firm that provided expertise in the areas of manufacturing and distribution systems, sales and marketing plans, mergers and acquisitions and financial analysis. Chuck is married to Sara, and they have two daughters, one son and four precious grandchildren. He lives in North Little Rock, Arkansas.
Rod Kresge | Chief Compliance Officer
Rod has worked in the financial services industry since 1995, holding numerous senior leadership positions in compliance, operations and supervision where he was responsible for the enhancement and continued development of company compliance programs. In addition, he has worked as a compliance consultant with companies across the nation, bringing a fresh perspective and best practice solution to this important core competency. Rod earned a Bachelor of Arts in Political Science after a sojourn in the US Army. Living in Atlanta with his wife Elizabeth and sons, Hunter and Chase, Rod is active in his community with the Boy Scouts of America, is a member of the Cobb County Community Emergency Response Team, and is a member of the American Legion. Rod is an avid reader and holds a personal fondness for technology that never needs to be charged – a hard bound book.
Michael L. Bates, JD | General Counsel
Michael “Mike” Bates earned his Bachelor of Accountancy degree from the University of Mississippi and his Juris Doctor degree from the University of Memphis. Prior to joining Sowell Management in 2018, Mike held senior management roles as the chief financial officer, chief operations officer, general counsel and senior tax counsel at both publicly traded and privately held companies. He also has prior experience on the institutional fixed-income side of the securities industry, having successfully passed the Series 7 and 63 exams. At Sowell, Mike’s role is to oversee all legal matters and to assist the compliance team. Mike is involved in his community, having served on the local Financial Advisory Committee of Germantown, Tennessee, and on the Board of Deacons at his church. He has been a varsity football and strength coach for several public and private high schools. Mike has three children – Lindsey, Garrett and Allie.
Keith Krueger | CHIEF GROWTH OFFICER
Keith has held senior leadership and management positions at both regional and national levels and has been instrumental at building businesses and managing turnaround situations. He has firsthand corporate management experience in a range of areas, including product creation, business development, marketing and risk management for trading/deal transactions. Specifically, Keith has had experience in investment banking, deal structure, firm valuation and succession planning, with a focus on financial statement analysis for the Registered Investment Advisor (RIA) industry. With all that amazing experience, suffice it to say that he’s the perfect person to share Sowell’s business value and future vision with potential advisors. As Chief Growth Officer, Keith is responsible for our Business Development team and brings solid leadership experience and a steady hand to driving future growth. This role includes growth of new products and services offering. Keith is a proactive leader who understands the importance of responsibility, accountability and integrity to the success of any project. He has utilized his experience to help clients and friends as a consultant and mentor. Keith and his wife Maria live in Little Rock, Arkansas, and enjoy traveling and fly fishing.
Daryl Seaton | CHIEF operating OFFICER
A native of Northern California, Daryl began his career in financial services in 2000 with a Fortune 100 company in Sacramento, CA. Quickly becoming a top producer, he was promoted and eventually held responsibilities for recruiting, developing and leading 150+ agents/financial advisors with over one billion in assets under care. In pursuit of independence, he later started his firm, first as a hybrid and then as an RIA, and at the same time began his partnership with Sowell Management. After an eight-year robust partnership, in 2020, Daryl accepted an invitation to join the Sowell team. Daryl’s love of people shines through and carries into his work as a servant leader. He is particularly passionate about financial advisors and the vital mission they execute daily. After more than 20 years, Daryl would consider himself to be a true seasoned leader in finance. His career has spanned both corporate, business ownership and community involvement. Daryl is an outdoor lover, hiker, and food and wine aficionado. By far, his pride and joy is his family. With the love of his life, Tammy, they are raising two boys of great character and faith – Jake and Nate.
Jake Anderson | Advisor support specialist
Jake began his career launching a digital micro currency retail website, specializing in video game currency in 2017 and previously worked for Arvest Central Mortgage Company as a Mortgage Accountant. In 2020, he joined Sowell Management as an Advisor Support Specialist, helping maintain strong advisor relationships while also carrying out various operational duties for Advisor Support. Jake graduated from the University of Arkansas at Fayetteville with a Bachelor of Science in Business Administration, where he obtained Accounting and Finance degrees, along with an Economics minor. In his spare time, Jake enjoys playing league basketball and team tennis, time at the lake with family and friends, and is a connoisseur of good food. He resides in North Little Rock, Arkansas.
Connie Barron | Account SPECIALIST
Connie Barron has more than two decades’ experience working for some of the biggest names in the financial services industry. She began her career with Merrill Lynch as a sales assistant where she worked with several of the firm’s top producers. Connie was also a client service associate with Morgan Stanley Smith Barney. She joined Sowell Management in 2011 in the Operations and Advisor Support departments. Recently Connie joined Sowell Financial Advisors, a division of the company that outsources financial planning to advisors. She now works one-on-one with financial planning clients. Connie attended both the University of Arkansas and the University of Arkansas at Little Rock. She has held her Series 7 and Series 63 securities licenses. Connie lives in Little Rock, Arkansas, and is married to John. They have one daughter, Lindsey, who is married to Matt Farris, and two sons, Hunter and Matt. She also has a granddaughter.
Matt Estes | DIRECTOR OF BUSINESS DEVELOPMENT
Matt, a native Arkansan, graduated from the University of Arkansas in 1984 with a Bachelor of Arts and Science. He launched his career in the investment industry at Dean Witter in 1987, then moved to Stephens Inc. in 1990 to join their Institutional Equity Sales Division. In 2006, he was asked to manage Stephens’ Professional Strategies Group, the Executive Financial Services area of the firm dealing with executive officers at the 400 companies for which they wrote research. Matt transitioned to Morgan Stanley in 2012 to become the sales manager for Arkansas, Mississippi and West Tennessee. He served as regional sales director from 2014 until 2017 for Morgan Stanley Investment Management. He then joined Sowell Management and is responsible for selling product services and recruiting advisors to join Sowell’s platform. In his spare time, Matt enjoys “everything outdoors,” especially hunting, fishing and playing tennis. He lives in Little Rock, Arkansas, and is married to wife Jennifer, and they have four adult children.
Kayla Farmer | DATA & TECHNOLOGY SPECIALIST
Kayla Farmer joined Sowell Management in 2019 on the Business Development team and quickly made a name for herself as a technology specialist, joining the Data and Technology team. A native Arkansan, Kayla is currently attending the University of Arkansas at Little Rock where she is majoring in Business Management with a minor in Marketing. Prior to joining Sowell, Kayla worked at Bank OZK in the Trust Department as their Trust and Corporate Support Assistant, working with their business development officers. In her spare time, she enjoys CrossFit, hunting, walking her fur babies and spending time with her husband, Drew and family.
MIKE GERACI | advisor support specialist
Mike started in the industry in 1996 with Merrill Lynch and has continued to advance his career as a derivative trader, OTC High-Yield bond broker, corporate bond and rate trader, and most recently as a trader and asset manager. He is a seasoned and versatile financial professional with diverse experience in quantitative trading, risk management and sales. He has built and managed several OTC credit trading desks and implemented trading management systems. Mike is part of our growing Sowell Affinity investment management team in California. An avid athlete, when he’s not exploring new hiking trails Mike is a yoga instructor – keeping balance literally in his daily life!
DAVE GREENE | DIRECTOR OF BUSINESS DEVELOPMENT
Dave Greene is director of business development at Cache River Advisors, a division of Sowell Management. Cache River serves the wealth management industry with unique advantages for succession planning, mergers and acquisitions.
Dave has spent more than 32 years on Wall Street, including 26 years at Stephens Inc. in the Capital Markets Group as managing director. In that role, Dave managed relationships with many of America’s top money managers, including mutual funds, hedge funds and family offices. His responsibilities included research sales, corporate finance offerings, private placements, strategic planning and trading relationships.
Dave and his wife Carla live outside of Bentonville, Arkansas and enjoy life on Beaver Lake. They are both active in community, church and charitable organizations.
amy hill | Advisor Support Specialist
A native Arkansan, Amy joins Sowell with a wealth of industry knowledge and experience. She is a Certified Trust and Financial Advisor with more than 17 years of diversified experience in trust and wealth management. Prior to joining Sowell, Amy was Vice President, Director of Operations for a regional wealth management advisory firm, and also worked at Regions Bank in Wealth Management for 14 years in various positions as an Institutional Relationship Consultant and a Personal Trust Officer. A graduate of Arkansas State University with a Bachelor of Science in Marketing with an emphasis in Management, Amy loves to travel and most especially to the beach. She shares her love of the outdoors with her husband Joe, and two active soccer playing daughters. The family lives in Maumelle.
Curtis Jones | Team Leader, advisor support
Curtis graduated from the University of Central Arkansas in 2010 where he earned his B.S. in Finance. He also has his Series 65 securities license. Prior to joining Sowell Management in 2016, Curtis worked in the Portfolio Department at Stephens Inc. where he reconciled custodial data, prepared quarterly reports, calculated and audited performance and was responsible for numerous other back-office duties. In his current role in Sowell’s Advisor Support Department, he is responsible for overseeing accounts, distributing quarterly reports and fulfilling an array of additional operational duties. In Curtis’ spare time, he enjoys spending time with family and working out at the gym. He lives in Sherwood, Arkansas, with his wife Karla and their dog Tank.
Neil Jones | Data and Technology Administrator
A native Arkansan, Neil is also a 20+-year veteran with the Army National Guard, specializing in Information Technology. Prior to joining Sowell in 2019, his civilian experience was with CAE USA and CFO Network focusing on network engineering, hardware management and included large system migrations to virtual environments. His talent extends deep in software management and he has a penchant for effective resource utilization and cost savings – and we sure value that! Neil would say, you can’t live in Arkansas and not enjoy the outdoors! He does that to the fullest. Next time you’re in Little Rock, catch his collection of bear photography and Harley Davison poker chips, which he’s gathered from all the amazing places he’s traveled while riding. He lives in Little Rock, Arkansas with wife Kristen, son Zak, and daughter Karlee.
Patrick Jones | CREATIVE DIRECTOR
Patrick joined Sowell Management in 2015. He studied graphic design and fine art at Arkansas State University. In the 30 plus years since beginning his career as a typesetter and designer for a national florist network, he has become a respected designer, Arkansas Advertising Federation award winner, copywriter, photographer and visual artist. Patrick has managed his own design and photography companies and excelled as the art director for Savvy and Arkansas Wild magazines, and as advertising and book designer for the Arkansas Times. His resume also includes previous positions as graphic designer with At Home in Arkansas magazine and creative director for AY Magazine. Patrick enjoys photography and cooking in his spare time and lives in Maumelle, Arkansas with his wife Lisa.
Thomas Knight, CFP® | Director of CUSTOMER CARE
Thomas, a Certified Financial PlannerTM, grew up in the Central Texas area and earned a double major in Economics and Philosophy from the University of Texas at Austin. He began his career at NFP Advisor Services Group, a top 10 independent broker-dealer in Austin, Texas, rising to vice president of business development and working with breakaways and other financial advisors considering independence. When Thomas moved to Little Rock, Arkansas, he worked as a vice president and chief operating officer of three retail wealth management firms before joining Sowell Management in 2017. His experience and flexibility have afforded Sowell the luxury of utilizing his talents in many different areas of focus. He heads Sowell Financial Advisors, the arm of the firm that provides advisors with outsourced financial planning and manages the Advisor Support and Transitions teams. He brings a keen sense of strategy, attention to detail and a focus on execution.
Thomas, who in his free time enjoys running, cycling and the Texas Longhorns, is an admitted coffee snob. He lives with his wife Jennifer and daughter Ruby in downtown Little Rock, Arkansas.
Maria Krueger | CORPORATE COMMUNICATIONS & TECHNOLOGY ADMINISTRATOR
Maria joined Sowell Management in 2017 as the firm’s corporate communications and technology administrator. She is responsible for implementing and overseeing Salesforce and all associated integrations and communicating “All Things Sowell” to the company’s advisors and clients via Pardot, its Salesforce integrated marketing platform. Previously, Maria worked in multi-media marketing for the Tampa Bay Business Journal, part of American City Business Journals, where she was the director of events. Prior to overseeing events for the TBBJ, Maria was associate director, assisting the president and publisher with day-to-day operations of the firm and working extensively with Salesforce for more than 7 years for all sales and marketing. Maria, who lives in Little Rock, Arkansas, is a true foodie and wine connoisseur and enjoys traveling and fly fishing with her husband, Keith.
Lindsay Lingo | Director of TECHNOLOGY & DATA
Lindsay, a native Arkansan, graduated from Arkansas State University where she earned a B.S. in Marketing with an emphasis in management. Prior to joining Sowell Management in 2006, Lindsay worked for Morgan Keegan Inc., where she was a Registered Sales Assistant. Lindsay holds Series 7, 63 and 66 securities licenses and has been a key contributor to Sowell. Through the course of her tenure she has held several growth positions including operations director and advisor support manager. Currently Lindsay’s focus is on Technology and Data, which is no small task. Keeping Sowell and our advisor partners relevant today and prepared for the future. Lindsay, who enjoys cooking and running, is also busy with her young family. She is married to husband Derek, and they have two children, Charlee and Camryn. The family lives in Maumelle, Arkansas.
Carter Malone | Director of Compliance
Carter began work in the brokerage industry in 1996, calculating margin calls and reviewing options trades. For over two decades, Carter has been involved with compliance for broker-dealers, investment banking, RIA’s, insurance agencies and a Municipal Advisor. Carter earned Bachelor of Science degrees in Business Management, Economics & Finance, and Accounting, fifteen FINRA Series designations. In addition, Carter holds Arkansas insurance agent licenses in the areas of life, accident and health, variable life and variable annuities. Carter enjoys playing various musical instruments and maintaining his favorite cars. Carter is a single father with three children: Jonathan, Conner and Paul.
laura mccabe | marketing engagement SPECIALIST
Laura brings two decades of marketing, communications and business development experience to Sowell Management’s growing marketing team. She holds degrees from Wellesley College and the UALR Institute of Government. Laura has provided brand leadership and big ideas to some of the world’s largest corporations. Her experience spans dozens of industries across the public, corporate and nonprofit sectors. Laura considers herself to be a true brand champion. She is passionate about the power of data and analytics to inform creative decisions. She lives in Little Rock with her daughter Lucy and their high energy Jack Russell terrier Lucky. She is a Pure Barre enthusiast who also enjoys travelling with her boyfriend, Danko, and cooking for her friends and family.
Miki Morrow | financial planning SPECIALIST
Miki is a graduate of the University of Arkansas at Fayetteville where she majored in Accounting and graduated Summa cum Laude with a B.S. in Business Administration. She holds her Series 65 securities license and is a Certified Public Accountant (CPA). Prior to joining Sowell Financial Advisors in 2018, she held several prominent positions regionally in the financial arena including vice president of an Arkansas-based Wealth Management firm and was responsible for client relationship management and financial planning. Miki has strong expertise in budgeting, contracts and compliance. She is passionate about supporting and mentoring others and believes in giving back to her community. As an active member of First United Methodist Church of Benton, Miki serves on their Youth Task Committee as a teaching leader and is a board member for the Saline County Razorback Club. A lifelong active runner, Miki enjoys getting out in the fresh air and attending sporting events. Miki lives in Benton and is married to husband Jeff. They have three children – Grayson, Colen and Kati.
craig von peters | director of business development
Having begun his career over 25 years ago with Lehman Brothers, Craig has been involved in all facets of wealth management and institutional private capital markets. Before establishing his career in private equity, he spent 10 years advising institutional investors in the Middle East and Europe in alternative investments. Craig is integrally involved with strategy, platform development, acquisitions, and most importantly, building and managing relationships. Prior to joining Sowell, he spent 10 years with an institutional money management firm and with Keystone National Group, a private markets credit investment firm managing investments for family offices and wealth managers.
ALAYNA SMITH | BOOKKEEPER
Alayna joined Sowell Management in 2018. She holds an A.S. in Office Administration and has had a flourishing career in bookkeeping and office management. Alayna’s streamlining, multi-tasking, and knowledge of technology related to the financial industry is key to her contributions to the Sowell team. Her expertise helped Sowell to develop and launch their automated billing system. Alayna enjoys spending time with her family and friends and is an avid traveler. She lives on her beautiful farm in Bryant, Arkansas, with her husband B.J., her two “fur” babies and one obstinate and darn cute pig, Wilbur.
abby sowell | Transition & advisor support specialist
Abby, a native of North Little Rock, Arkansas, joined Sowell Management in 2018. A graduate of the University of Arkansas at Fayetteville, she has a B.A. in Journalism with a concentration in advertising and public relations. As a member of the university’s Tri Delta Sorority, Abby was an active fundraiser for St. Jude Children’s Research Hospital in Memphis, Tennessee. At Sowell Management, Abby works closely with advisors to transition them onto the Sowell platform in her role as Transitions Coordinator. She also supports her own subset of advisors in her role within the Advisor Support team. Abby enjoys attending her alma mater’s Razorback sporting events, spending time with friends and reading. She also admits to being a fan of reality television shows.
evan sowell | business development associate
Evan began his Sowell career in 2019 as an intern before joining Sowell in 2020 on the Business Development team. Evan supports new business opportunities by conducting market research, building client relationships, and implementing business strategies. Evan assists with the day-to-day needs of the team while running the new business technology platform and plans to take his Series 65 exam in the near future. He holds a bachelor’s degree in Business from the University of Arkansas at Fayetteville, where he was an active member of the Phi Delta Theta fraternity serving as rush chair and on the member review board. Evan loves spending time outdoors, whether it be golfing or canoeing the rivers in Arkansas. An avid duck hunter, Evan shares this passion with his father, Bill, who regularly go together. Fayetteville is where Evan resides with his dog, Bosco.
erin taylor | Marketing and Communications Director
Originally from New York, Erin came to Arkansas to run cross-country and track at the University of Arkansas and fell in love with marketing along the way. After more than 30 years, Erin would consider herself a true seasoned marketer, beginning her career as a copywriter and eventually growing her own agency. In 2000, she sold her firm and moved to Little Rock, beginning an amazing career building brands and diving deeply into all aspects of digital and direct marketing during her tenure as Director of Direct Marketing with Alltel Telecommunications and VP of Global Marketing with Acxiom. Her career has spanned both agency and corporate assignments, public and private sectors, consumer and B2B markets. An entrepreneur at heart, Erin and her husband, Gary, own Go! Running, a popular running store in Little Rock. She is an outdoor lover, runner, hiker, horseback rider and loves taking her dog Milo out exploring trails. She and Gary have four children – Reed, Jordan, Brendan and Kieran.
JOSEPH WREN | compliance associate
Joseph joined Sowell Management in 2018 as part of the growing advisor support department and as his industry knowledge and business acumen grew, he advanced to join the compliance department, actively engaged in the critical day-to-day responsibilities of advisor compliance. Born and raised in Little Rock, Arkansas, he earned his Bachelor of Science in Business Administration in Supply Chain Management from the Walton College of Business at the University of Arkansas at Fayetteville. While there, Joseph was a member of Lambda Chi Alpha where annually he helped raise hundreds of thousands of canned goods for local food pantries. He also worked as an inventory specialist at Fayetteville’s Chick-fil-A, where he learned the logistics of food management. Joseph lives in Little Rock, Arkansas. In his free time, he enjoys cheering for the Razorbacks, live music and camping.
dick wyatt | Controller
Dick, a native Arkansan, joined Sowell Management in 2020 and serves as controller and lead for the accounting division. He attended The University of Arkansas, Fayetteville where he received a BSBA and MBA. Dick brings with him years of experience in both technology and accounting. He began his career with IBM in Little Rock, before taking an opportunity as Treasurer for McLarty Leasing Systems, where he was eventually promoted to Vice President and subsequently President. In 1977, Dick teamed up with Mickey Lavender to form Lavender & Wyatt Systems, Inc., which operated a data service bureau and developed a software application for Community Mental Health Centers. After a few years off to recover from a bilateral lung transplant, Dick returned to the workforce as the Chief Information Officer for the Arkansas Department of Human Services. He enjoys traveling, horse racing, spending time with family and friends, and relaxing at Lake Hamilton. Dick and his wife, Olivia, live in Little Rock.
Lindsay Zerucha | Executive Assistant
Lindsay joined Sowell Management in 2020, coming to Arkansas via her home state of Ohio. Detail-oriented and diligent, Lindsay holds a bachelor’s degree in Business Management with a certification in finance. Prior to joining Sowell, she held positions for the industry-leading retailer, Hobby Lobby, as an Office Manager, Bookkeeper, and Department Manager. A devoted mom of three, Lindsay enjoys being outdoors hiking, fishing and camping with Cole, Jaydn, and Laylah. They live in Vilonia, Arkansas.