THERE FOR THE SOLUTIONS
THERE FOR THE JOURNEY

Unbundled solutions that connect, not entangle.

There are many paths to success in this industry. We understand the unique needs of each advisor, which is why we create personalized solutions and strategies for you and your business.

Whether you are looking to grow your business, break away or prepare for your legacy, our unbundled solutions keep your operations connected, not entangled with unnecessary services.

Our open architecture platform allows you to select the support you need while providing the infrastructure and resources to help you manage, grow, and reach new summits. Our platform is designed by advisors for advisors. It’s your business — your way.

WHAT WE OFFER

IAR: required: technology, tech support, back-middle office compliance. RIA: design: a solution set for your business. Optional: Investment management, FLEX, marketing branding, financial planning. Included: transition support, practice management

Advisor Relations — There for your growth

The most successful registered investment advisors understand that outsourcing tedious tasks is critical to the bottom line. We provide outsourcing solutions customized for your practice — from all-encompassing to à la carte.

So your journey stays focused on growth, we provide a dedicated relationship manager who manages all of your day-to-day functions, including middle- and back-office support. The hours once lost to operational tasks can be re-allocated to high-touch relationship building and other revenue-producing activities.
icon of man in collar

Advisor Support

Advisor Support

› Provide advisor with a dedicated advisor relationship manager
› New account opening and ongoing account maintenance, cashiering etc.
› Advisor is able to leverage CRM for automated account servicing through case files
› Serves as liaison between advisor and custodian to coordinate efficient workflows based on our enterprise-level service
› Complete reporting and billing services

Back-Office Support — there for the day-to-day

Served by a team that works as an extension of your office, our middle- and back-office operations team will provide the day-to-day account management needs to give you more time with clients.

Customized Support — there for your business transition

Our transitions team ensures that you are fully supported for a seamless transition process so your business can continue to run smoothly. We offer a dedicated, seasoned transition team to handle the transition of your book of business in a smooth and efficient manner. We have experience transitioning all types of business, from small IAR advisors to large RIA firms.
Icon of key inside head

Transition Support & Management

Transition Support & Management

› Dedicated specialists create a customized business transition plan and timeline tailored to your specific needs
› Client document preparation and population
› Customized client communications and e-signature capabilities
› Efficient establishment of new accounts and prioritized asset transfers
› Daily monitoring with the custodian to keep your transition on track
› Additional transition and onboarding support for new advisors joining your business

BILLING & REPORTING

Utilizing various portfolio management platforms, which aggregate real-time custodial data, we offer full billing and reporting capabilities for our IAR and RIA partners. Capabilities include:

Standardized Monthly Billing
Quarterly Performance Reporting
On-Demand Performance Reporting
Accounting Services
Dedicated Team to Handle Case-by-Case Billing and Reporting Inquiries

CASHIERING

We handle all cashiering requests in-house, making it easy to process requests on your book of business. We handle the following cashiering duties for you:
Deposits
Withdrawals
One-Time Distributions
Monthly or Recurring Distributions
Journaling
Any One-Time Case-by-Case Requests

ACCOUNT OPENING & PAPERWORK

As part of our “white glove” service model, we make handling account opening and paperwork processing a breeze. We offer the following account opening and paperwork services:
On-Demand Paperwork Processing
Pre-Filled Paperwork for New Accounts
eSignature and DocuSign Processing

Meet Our Advisor Relations Team

Headshot of Chuck Hicks

Chuck Hicks

CHIEF CUSTOMER OFFICER

Elyse Smith

Elyse Smith

MANAGING DIRECTOR OF ADVISOR SUPPORT & BUSINESS TRANSITIONS

Abby Sowell

Abby Sowell

TRANSITION & ADVISOR SPECIALIST

Amy Hill

Amy Hill

ADVISOR RELATIONSHIP MANAGER

Andrea Barber

Andrea Barber

ADVISOR RELATIONSHIP MANAGER

Courtney Snow

Courtney Snow

ADVISOR RELATIONSHIP MANAGER

Marketing — Elevate your visibility

Marketing is a critical, core component to the success of any business. The marketing strategy adopted by a business invariably benefits the overall performance of a company. Our marketing team can offer advisors an established and proven marketing “road map” process.

Customized strategic brand/logo development and planning Targeted campaigns across traditional, web, digital, video, and social mediums Custom marketing packages that can be tailored to your needs.

From foundational strategies to targeted growth enhancing campaigns, including marketing automation, our team is with you every step of the way.
Icon of pencin and ruler inside laptop

Marketing & Branding Services

Icon figure inside lightbulb
brand strategy
Icon of laptop
website design
Icon play button
video production
Icon of desktop and tablet
digital advertising
Icon figure inside gear
logo + identity system
Icon of eye on document
first impressions kit
Icon of camera
photography
Icon of overlapping speech bubbles
social media

Meet Our Marketing & Branding Team

Erin Taylor

Erin Taylor

DIRECTOR OF MARKETING & COMMUNICATIONS

Laura McCabe

Laura McCabe

MARKETING AND ENGAGEMENT SPECIALIST

Patrick Jones

Patrick Jones

CREATIVE DIRECTOR

Navigate compliance with confidence

Through thoughtful navigation of evolving regulations, our compliance team works for you and alongside your business to provide you with the confidence to stay focused on your clients.

Sowell Management provides direction when navigating complex regulatory requirements. Our team of compliance professionals establishes practical solutions to these complex issues, helping your business stay the course in this ever-changing regulatory environment.
Icon of scale in head

IARD ADMINISTRATION

IARD ADMINISTRATION

As part of its comprehensive Investment Adviser Program, Sowell Management provides a complete IARD filing service including:

› Initial Form ADV Part 1
› Amendments to Part 1
› Form ADV Part 2A and amendments
› State notice filings
› State registrations for state advisers
› Annual amendments

Icon of organization chart

IARD AGENT REGISTRATION

IARD AGENT REGISTRATION

Firms can outsource the entire IARD administration function or retain Sowell Management to train in-house staff. Sowell Management provides Investment Adviser Rep services including:

› Initial U-4 onto IARD
› Adviser Rep transitions onto IARD
› Updates to U-4
› Process U-5 filings

Meet Our Compliance Team

Rod Kresge

Rod Kresge

CHIEF COMPLIANCE OFFICER

Andrea Gilstrap

Andrea Gilstrap

COMPLIANCE ASSOCIATE

Technology Ecosystem — end-to-end tech that empowers

Discover a web-based platform designed to work the way you do, powered by leading technology and tailored support that empowers an elevated client experience.

powered + empowered Sowell’s technology is an integrated and robust array of solutions that operate as the backbone of your practice. We connect you with the industry-leading technology and, equally important, a team of experts who help build and strengthen your business. Powered by superior back-office support critical to smoothly running a business empowers you to spend the time where it is most valuable — on building client relationships.
icon of trees on phone

Technology Solutions

Technology Solutions

› CRM
› Portfolio reporting software (client portal included)
› Account aggregation software
› Secure online document storage
› Risk profiling software (optional)
› E-signature solution
› Host advisor’s email

Icon of two profiles on laptop screen

Technology & Data Support

Data & Technology Support

› In-house technology specialists that provide 1:1 training and ongoing support to customize your learning
› Full-service IT help desk: M-F 7 a.m.-4 p.m. CT
› Data monitoring and integration with daily downloads to applications
› Performance reporting on client portfolios
› Data downloaded daily to PMS, CRM, and other technology systems as available
› Custodial data is downloaded and reconciled daily

Meet Our Data and Technology Team

Headshot of Thomas Knight

Thomas Knight, CFP®️

MANAGING DIRECTOR OF TECHNOLOGY & DATA

Neil Jones

Neil Jones

DATA & TECHNOLOGY ADMINISTRATOR

Zach Borromeo

Zack Borromeo

DATA ANALYST

Asset Management — there for confident trading

We offer industry-leading investment solutions for wealth advisors and the freedom to choose. In today’s markets, it’s more important than ever to partner with a firm with top institutional-quality investment managers, a proprietary technology platform, and choice — the flexibility to construct client portfolios with the right modular solutions.

icon of rotating dollar sign gear

Wealth Management Platform

Wealth Management Platform

Sowell’s FLEX open architecture platform utilizes cutting-edge Unified Managed Account (UMA) technology. It enables advisors to open a single account and allocate capital to a broad selection of multiple third-party SMAs, mutual funds, ETFs and individual securities. With FLEX, you can construct a customized portfolio for each client’s risk tolerance and goals.

The Sowell FLEX Platform offers advisors the freedom to choose -- “rep as PM” or bespoke iCIO selections -- with any combination of Sowell Affinity models and 500+ curated third-party manger models. Plus, full access to the Sowell Affinity Portfolio Station: 600+ emerging managers and a curated selection of boutique managers.

Icon of dollar sign inside gear inside head

Insourced CIO

Insourced CIO

Sowell Management partners with Sowell Affinity, our investment management division, to offer traditional “OCIO” solutions to advisors. We call it “iCIO” in-sourced Chief Investment Officer. Advisors have access to a team with over 30 years of institutional investment management. Collectively our iCIO team has allocated over $10 billion across multiple asset classes for some of the largest pension funds, foundations, endowments, and fortune 500 companies throughout our careers.

Our iCIO team partners with your practice to build “bespoke” investment solutions. We’ve set out as a firm with iCIO solutions to enhance your portfolio management offerings, presenting you as the smarties advisor in the room. Our iCIO team aligns investment expertise and advanced technology in supporting our advisors by helping clients achieve their investment objectives.

Meet Our Asset Management Team

Headshot of Greg Lai

Greg Lai

CO-CIO

Headshot of Iman Movahed

Iman Movahed

SENIOR PORTFOLIO MANAGER & CO-DIRECTOR OF RESEARCH

Luke Coop

Luke Coop

TRADING SPECIALIST

Financial planning services to reach new summits

Reach new summits for your clients by helping them build assets today and plan for tomorrow. We support you in developing customized financial plans for clients, ongoing monitoring of financial plans and assisting with plan presentation.

Our financial planning team works hand-in-hand with advisors to make an impact in the lives of clients by helping them build assets today and plan for tomorrow.

70% of advisors believe financial planning augments their revune streams
Icon of hands holding money plant

Financial Planning

We’ll be there to guide you every step of the way.

• ONBOARDING SUPPORT
• MODULAR FINANCIAL PLANNING
• FINANCIAL BUDGETING
• PLAN DATA ENTRY
• CASH-FLOW SERVICES
• ON-GOING FINANCIAL PLAN MONITORING

Meet Our Financial Planning Team

Headshot of Thomas Knight

Thomas Knight, CFP®️

MANAGING DIRECTOR OF DATA & TECHNOLOGY

Miki Morrow

Miki Morrow

FINANCIAL PLANNING SPECIALIST

Connie Barron

Connie Barron

ACCOUNT SPECIALIST

Practice Management

Advisors can utilize our value-added resources, thought leadership, and full access to a like-minded advisor community.
Icon of hand holding seedling

Practice Management Resources

Practice Management Resources

› Access to a community of growth-minded advisors
› Opportunity to attend annual Sowell Advisor Conference
› Monthly “Ready. Set. Grow” webinars: 3RD THU practice management + TECH TUES technology tips
› Access to our expertise on succession and continuity planning, practice valuation, acquisition support, deal structure and financing
› Continued business consultation to guide you through the next chapter of growth

Contact us

Download the Journey Roadmap

Download the Journey Roadmap