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
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 | PRESIDENT
Charles “Chuck” C. Hicks, Jr., 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 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. In his current role as president, he oversees the firm’s business development, marketing and advisor support teams, which includes revenue and sales growth; expense, cost and margin control; and monthly, quarterly and annual financial goal management. 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 / Compliance
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 FINANCIAL OFFICER
Keith has held senior leadership and management positions at both regional and national levels. He 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. 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.
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.
Chris clark | trading specialist
Chris is a 2018 graduate of Ouachita Baptist University where he majored in Finance and Entrepreneurship and earned a B.A. in Business Administration. While in school, Chris served as the technology sector analyst for a small student investment fund that managed $1.2 million of the university’s endowment. Chris holds his Series 65 securities license and just recently passed the CFA (Chartered Financial Analyst) Level I exam. Chris is a member of Sowell Management’s asset management and trading teams. His responsibilities include portfolio design, performance reporting and any trading functions. He enjoys exercising, spending time with friends and watching basketball. Chris is a resident of Little Rock.
Matt Estes | VICE PRESIDENT 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.
Maycee Fendley | Staff accountant
Maycee, a native of North Little Rock, Arkansas, joined Sowell Management in 2019. A graduate of the University of Mississippi, she holds a Bachelor of Accountancy from the Patterson School of Accountancy and a Bachelor of Business Administration from the Holman School of Business. As a member of the university’s Phi Mu Sorority, she served as Chaplain and worked alongside Ole Miss MoneyThink, mentoring Oxford High School students on fiscal responsibility. Now at Sowell Management, Maycee works on financial reporting and analysis projects. In her free time, she enjoys attending her alma mater’s Rebel sporting events, time at the lake with family and friends, and traveling abroad.
DAVE GREENE | DIRECTOR OF BUSINESS DEVELOPMENT, CACHE RIVER ADVISORS
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.
Kate Harmon | Advisor support specialist
Kate Harmon is a Wisconsin native who now enjoys Arkansas, the Natural State. Her family moved to Dover, Arkansas, to live a quiet life on their family farm when she was a teen. After graduating from high school, Kate began a career in the hotel industry. A fast learner and hard worker, Kate quickly rose to the position of assistant general manager of several large hotels in Central Arkansas. Skilled in technology, in 2016 Kate transitioned to an emerging industry – that of online banking. She helped launch PurePoint Financial, an online savings bank. In 2018, Kate joined Sowell Management in its Advisory Support Department, providing customer service support to the firm’s financial advisors. Kate enjoys reading, hiking and spending time with her family and dog Ladybug – a Chihuahua.
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 Sowell Financial Advisors
Thomas Knight, a Certified Financial Planner (CFP), 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. He began his career in the Advisory Services Division, then managed their internal sales desk. He was promoted to vice president of business development and worked with breakaways and other financial advisors considering independence. Thomas then moved to Little Rock, Arkansas, and worked as a vice president and chief operating officer of three retail wealth management firms. He joined Sowell Management in 2017 and has focused on several internal projects. Recently he was asked to head Sowell Financial Advisors, the arm of the firm that provides advisors with outsourced financial planning. Thomas, who in his free time enjoys running 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 Services 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.
CALLIE LEWIS | advisor support specialist
Callie, a native of Little Rock, Arkansas, joined Sowell Management in 2019 as an office assistant, but her strong communication skills and desire to serve the needs of our advisors allowed her to naturally transition to the advisor support team. Callie works closely with the firm’s advisors, helping them with a smooth transition to the company’s platform. Prior to Sowell, she interned with the Arkansas Highway and Transportation Department in Systems Information and Research for almost four years. Callie is pursing double bachelor’s degrees – one in Sociology and the other in Communications – from the University of Arkansas at Little Rock. In her spare time, she enjoys working in her church’s youth department and traveling.
Lindsay Lingo | Director of Operations
Lindsay Lingo, 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. She has held several positions at Sowell, including operations director. Recently Lindsay was promoted to resource manager, overseeing the growing Advisor Support and Data and Technology departments. 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, an energic four-year-old, and newborn 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.
mary massirer | Receptionist
Mary joined Sowell in 2019, fresh off finishing a coveted internship with at the William J. Clinton Center Presidential Library. Her welcoming personality and communication ability made her a natural to be the first person you’ll see when you arrive at Sowell’s national headquarters. A Little Rock native, Mary attained a journalism degree with emphasis in public relations. She has experience writing for her campus newspaper, event planning and helped lead a campus PR campaign. But her love is engaging with social media. In her free time, Mary enjoys hiking, shopping and being with friends and family.
tim mcafee | Transition Manager
Tim McAfee graduated from the University of Georgia with a degree in Business Management. A 17-year Investment industry veteran, Tim worked both as an advisor and in the corporate office. In 2019, Tim joined Sowell bringing with him a cross-functional skill set, including a strong focus on business development and a great can-do Advisor mentality. Tim has spent the majority of his career improving processes in support of business efficiencies, educating and utilizing technology to streamline business operations and assisting in strategic advisor growth. Tim lives in Atlanta, Georgia with wife Cat and son Teo (7). Tim is very active in his wife’s non-profit, LaAmistad, which services underprivileged Latino children. Tim and Cat met on the hockey rink and now enjoy coaching their son and staying heavily involved in hockey in Atlanta and the surrounding area.
Miki Morrow | financial planning SPECIALIST
Miki Morrow 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 positions in the financial arena. Most recently she was vice president of Benton, Arkansas-based Pear Tree Wealth Management and was responsible for client relationship management and financial planning. She has also worked in the Little Rock, Ark. office of Hogan Taylor as a financial services consultant. Miki has additional experience in budgeting, contracts and compliance. She is a board member for the Saline County Razorback Club and is an active member of First United Methodist Church of Benton, serving on their Youth Task Committee and as a teaching leader. She is an active runner and enjoys attending sporting events. Miki lives in Benton and is married to husband Jeff. They have three children – Grayson, Colen and Kati.
Morgan Sizer | Director of asset management/trading
Morgan, who joined Sowell Management in 2017, brings two decades of experience working in financial markets to the firm and has held senior roles within equity sales, trading, institutional proprietary trading, hedge fund management and high frequency arbitrage functions. He has spent his trading career focusing on the research, development and implementation of profitable short- to mid-term low beta, alpha-maximizing quantitative strategies spanning a broad range of international markets and asset classes, with an emphasis on equities, equity derivatives and spot and forward foreign exchange. Morgan holds a Bachelor of Commerce degree in Finance from the University of the Witwatersrand in South Africa and his Series 65 securities license. Morgan lives in Little Rock, Arkansas, and his spare time is spent working in his home studio finalizing audio productions for the recorded music industry.
ALAYNA SMITH | BOOKKEEPER
Alayna joined Sowell Management in 2018. She holds an A.S. in Office Administration and has had a career in bookkeeping and office management for the past 11 years. Alayna’s streamlining, multi-tasking and knowledge of technology related to the financial industry are key to her contributions to the Sowell team. Alayna enjoys spending time with her family and friends and is an avid traveler. She lives in Bryant, Arkansas, with her husband B.J. and has two “fur” children.
abby sowell | marketing & Transition coordinator
Abby, a native of North Little Rock, Arkansas, joined Sowell Management in 2018. A graduate of the University of Arkansas at Fayetteville, she has 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. Abby honed her skills in social media as part of the marketing team at Chick-fil-A in Fayetteville. At Sowell Management, Abby is charged with marketing efforts that include supporting business-to-business marketing campaigns and managing social media. She also coordinates and supports with the onboarding and transition of new advisor partners to Sowell. 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.
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.