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SOWELL FINANCIAL SERVICES, LLC, CRD 127145
NORTH LITTLE ROCK, AR
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-04 (filing); first seen by DFX 2026-09-15.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| WILLIAM CHESLEY SOWELL | n/a | NORTH LITTLE ROCK, AR | 16 | 35 | 3 | no |
| CARRIE JEAN QURAISHI | n/a | Jonesboro, AR | NORTH LITTLE ROCK, AR | JONESBORO, AR | 10 | 19 | 4 | no |
| JAMES JON BENET | n/a | Forest, VA | 10 | 41 | 2 | no |
| JOHN MARTIN PADILLA | n/a | Santa Monica, CA | NORTH LITTLE ROCK, AR | 10 | 34 | 4 | no |
| ERIC FAROKH BILLIMORIA | Certified Financial Planner | Schaumberg, IL | NORTH LITTLE ROCK, AR | 10 | 14 | 1 | no |
| FAROKH BILL BILLIMORIA | Certified Financial Planner | NORTH LITTLE ROCK, AR | Sugar Land, TX | 10 | 43 | 4 | no |
| LORI ROBYN HALL | n/a | Woodridge, IL | NORTH LITTLE ROCK, AR | 10 | 26 | 4 | no |
| LESLIE FERRONE | n/a | NORTH LITTLE ROCK, AR | Good Hope, GA | 9 | 38 | 2 | no |
| KIMBERLY MARIE NORDI | n/a | Gig Harbor, WA | NORTH LITTLE ROCK, AR | GIG HARBOR, WA | 9 | 30 | 3 | no |
| GERRIT WILLIAM VRIEZE | n/a | West Des Moines, IA | NORTH LITTLE ROCK, AR | 9 | 28 | 3 | no |
| THOMAS RALPH CLARK | Chartered Financial Consultant | West Des Moines, IA | NORTH LITTLE ROCK, AR | 9 | 40 | 4 | no |
| SCOTT LAWRENCE CHRISTIE | Chartered Financial Consultant | Scottsdale, AZ | NORTH LITTLE ROCK, AR | 9 | 41 | 5 | no |
| MATTHEW PAUL MCCOY | Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst | Chattanooga, TN | NORTH LITTLE ROCK, AR | 9 | 21 | 3 | no |
| BRADY BRIAN BUSKIRK | n/a | Gig Harbor, WA | GIG HARBOR, WA | NORTH LITTLE ROCK, AR | 9 | 15 | 4 | no |
| BRIAN WAYNE BUSKIRK | n/a | Gig Harbor, WA | GIG HARBOR, WA | NORTH LITTLE ROCK, AR | 9 | 43 | 4 | no |
| RYAN MATTHEW JENNINGS | n/a | Scottsdale, AZ | NORTH LITTLE ROCK, AR | 9 | 14 | 2 | no |
| JASON ALLAN STROEDE | n/a | Belleville, IL | NORTH LITTLE ROCK, AR | 9 | 19 | 4 | no |
| MARTY EDWARD PAUL | n/a | NORTH LITTLE ROCK, AR | Gig Harbor, WA | GIG HARBOR, WA | 9 | 31 | 4 | no |
| JOSEPH M LATOUR | n/a | NORTH LITTLE ROCK, AR | Cumming, GA | Alpharetta, GA | 9 | 29 | 6 | no |
| ERIC MICHAEL HARLEY | n/a | Indianapolis, IN | NORTH LITTLE ROCK, AR | 9 | 26 | 4 | no |
| DIANNE MAE LUTZ | n/a | NORTH LITTLE ROCK, AR | Sinking Spring, PA | 9 | 38 | 3 | no |
| CHRIS D BALKA | n/a | Seattle, WA | NORTH LITTLE ROCK, AR | 9 | 31 | 2 | no |
| MARILYN LAUX EVANS | Certified Financial Planner | NORTH LITTLE ROCK, AR | Albuquerque, NM | 9 | 27 | 2 | no |
| PHILIP WAYNE BODINE | n/a | Granite Bay, CA | 8 | 32 | 3 | no |
| COLIN JOSEPH HUGHES | Certified Financial Planner | Flagstaff, AZ | 8 | 16 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MERCHANT SOWELL HOLDINGS, LLC | Member | E | yes | 06/2026 | Jul 23, 2026 | Jul 23, 2026 |
| SEATON, DARYL, T | PRESIDENT AND CEO | Na | yes | 01/2020 | Jul 23, 2026 | Jul 23, 2026 |
| SOWELL, CYNTHIA | Evp | Na | yes | 03/2009 | Jul 23, 2026 | Jul 23, 2026 |
| SOWELL, WILLIAM, CHESLEY | FOUNDER AND CHIEF STRATEGY OFFICER | Na | yes | 12/2001 | Jul 23, 2026 | Jul 23, 2026 |
| SOWELL, WILLIAM, CHESLEY | CHIEF EXECUTIVE OFFICER | D | yes | 12/2001 | Mar 21, 2012 | Oct 30, 2024 |
| KRESGE, RODNEY | CHIEF COMPLIANCE OFFICER | Na | no | 10/2019 | Jul 23, 2026 | Jul 23, 2026 |
| SOWELL MANAGEMENT, INC | Member | C | no | 03/2009 | Jul 23, 2026 | Jul 23, 2026 |
| HICKS, CHARLES, CLIFFORD | CHIEF CUSTOMER OFFICER | Na | no | 04/2015 | Jun 29, 2015 | Oct 30, 2024 |
| INGLIS, JASON, FAIRBANKS | CHIEF REVENUE OFFICER | Na | no | 08/2022 | Mar 23, 2023 | Oct 30, 2024 |
| Norman, Nancy | Trustee | D | no | 08/2016 | Jul 14, 2023 | Oct 30, 2024 |
| Norman, Theodore, Paul | Trustee | D | no | 08/2016 | Jul 14, 2023 | Oct 30, 2024 |
| THEODORE AND NANCY FAMILY REVOCABLE TRUST DATED AUGUST 2, 2016 | Owner | Na | no | 11/2019 | Nov 11, 2021 | Oct 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LIGHTHOUSE WEALTH STRATEGIES, LLC | n/a | Independent wealth | $844M | N | no | n/a |
| TETON WEALTH GROUP LLC | n/a | Independent wealth | $204M | N | no | n/a |
| VERITAS INDEPENDENT PARTNERS, LLC | n/a | Former SEC adviser | $142M | N | no | n/a |
| M. S. HOWELLS & CO. | n/a | n/a | n/a | N | no | n/a |
| PURSHE KAPLAN STERLING INVESTMENTS, INC. | n/a | n/a | n/a | N | no | n/a |
| SOWELL INSURANCE SERVICES | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| GIG HARBOR | Wa | United States | 7 | yes |
| LITTLE ROCK | Ar | United States | 3 | yes |
| Rogers | Ar | United States | 3 | no |
| Flagstaff | Az | United States | 2 | no |
| Scottsdale | Az | United States | 2 | no |
| Watkinsville | Ga | United States | 2 | no |
| WEST DES MOINES | Ia | United States | 2 | no |
| Marlton | Nj | United States | 2 | no |
| Albuquerque | Nm | United States | 2 | yes |
| Chattanooga | Tn | United States | 2 | yes |
| Williamsburg | Va | United States | 2 | no |
| HOT SPRINGS | Ar | United States | 1 | no |
| GRANITE BAY | CA | United States | 1 | no |
| LOS ANGELES | CA | United States | 1 | no |
| Roseville | CA | United States | 1 | no |
| SANTA MONICA | CA | United States | 1 | no |
| CASTLE ROCK | Co | United States | 1 | no |
| Jupiter | FL | United States | 1 | no |
| Atlanta | Ga | United States | 1 | no |
| Schaumberg | IL | United States | 1 | no |
| Indianapolis | In | United States | 1 | no |
| Dartmouth | Ma | United States | 1 | no |
| Enid | Ok | United States | 1 | no |
| Tulsa | Ok | United States | 1 | no |
| Houston | TX | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 29, 2026 | $4.8B | $4.7B | 162 | 94 | 70 | n/a | n/a |
| 2024 | Apr 25, 2025 | $4.2B | $4.1B | 146 | 87 | 70 | n/a | n/a |
| 2023 | Mar 1, 2024 | $3.3B | $3.3B | 157 | 84 | 70 | n/a | n/a |
| 2022 | Mar 23, 2023 | $2.8B | $2.8B | 122 | 87 | 55 | n/a | n/a |
| 2021 | Mar 30, 2022 | $2.8B | $2.7B | 124 | 91 | 55 | n/a | n/a |
| 2020 | Mar 19, 2021 | $3.2B | $3.2B | 160 | 93 | 55 | n/a | n/a |
| 2019 | Mar 27, 2020 | $2.2B | $2.2B | 161 | 81 | 49 | n/a | n/a |
| 2018 | Mar 29, 2019 | $2.0B | $2.0B | 95 | 70 | 40 | n/a | n/a |
| 2017 | Mar 31, 2018 | $1.4B | $1.4B | 73 | 56 | 31 | n/a | n/a |
| 2016 | Mar 30, 2017 | $1.1B | $1.1B | 68 | 54 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $493M | $486M | 24 | 14 | n/a | n/a | n/a |
| 2014 | Mar 17, 2015 | $381M | $367M | 13 | 10 | n/a | n/a | n/a |
| 2013 | Mar 21, 2014 | $312M | $312M | 9 | 4 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $369M | $369M | 8 | 6 | n/a | n/a | n/a |
| 2011 | Mar 21, 2012 | $446M | $446M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 10 | 7 | 3 | 6.4% | 2 | 2 | 0 | 37 | 22 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.8B | $4.2B | 13.6% | $2.8B | 19.6% | 162 | 146 | 70 | 70 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| TETON WEALTH GROUP LLC | 2 | May 23, 2024 | Feb 1, 2021 | NORTH LITTLE ROCK, AR | Team lift out | RIA to RIA | 2.9% |
| FIRST FINANCIAL SERVICES, LLC | 4 | Mar 5, 2024 | Apr 30, 2024 | NORTH LITTLE ROCK, AR | Team lift out | RIA to new firm | 5.6% |
| EFFICIENT ADVISORS | 2 | Dec 1, 2023 | May 13, 2021 | NORTH LITTLE ROCK, AR | Team lift out | RIA to RIA | 2.7% |
| INSPIRE ADVISORS, LLC | 2 | Jun 14, 2023 | Jun 20, 2023 | LITTLE ROCK, AR | Team lift out | RIA to RIA | 2.8% |
| HERITAGE OAK WEALTH ADVISORS | 4 | May 1, 2023 | Jan 2, 2026 | NORTH LITTLE ROCK, AR | Team lift out | RIA to new firm | 5.3% |
| EFFICIENT ADVISORS | 2 | Mar 1, 2023 | Dec 2, 2022 | HIGH POINT, NC | Team lift out | RIA to RIA | 2.5% |
| NEW WAVE WEALTH ADVISORS | 4 | Dec 31, 2022 | May 16, 2023 | NORTH LITTLE ROCK, AR | Team lift out | RIA to new firm | 4.9% |
| IPSEN ADVISOR GROUP | 2 | Mar 31, 2022 | Aug 1, 2022 | NORTH LITTLE ROCK, AR | Team lift out | RIA to new firm | 2.5% |
| PEGASUS MANAGEMENT SERVICES L.L.C. | 2 | Jun 29, 2021 | Jun 14, 2021 | KING OF PRUSSIA, PA | Team lift out | RIA to state RIA | 2.4% |
| HUNT WEALTH MANAGEMENT | 2 | Jun 13, 2017 | Jul 17, 2017 | NORTH LITTLE ROCK, AR | Team lift out | Other | 4.9% |
| INSTITUTE FOR WEALTH ADVISORS, INC. | 8 | Jan 25, 2017 | Mar 2, 2017 | NORTH LITTLE ROCK, AR | Team lift out | Other | 15.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 4, 2026 | Sep 8, 2026 | MERRITT ISLAND, FL | Team lift out | Ibd to RIA | 0.1% |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | 2 | Jul 23, 2025 | Aug 27, 2025 | CONWAY, AR | Team lift out | Other | 0.1% |
| MML INVESTORS SERVICES, LLC | 2 | Jan 30, 2025 | Jan 30, 2025 | LITTLE ROCK, AR | Team lift out | Ibd to RIA | 0.0% |
| IC ADVISORY SERVICES, INC. | 2 | Nov 4, 2024 | Nov 1, 2024 | LA PLATA, MD | Team lift out | Ibd to RIA | 1.1% |
| BAKER TILLY WEALTH MANAGEMENT, LLC | 2 | Jul 19, 2023 | Jul 19, 2023 | HOUSTON, TX | Team lift out | RIA to RIA | 6.5% |
| SOLERA ASSET MANAGERS, LLC | 2 | Apr 13, 2023 | Mar 4, 2020 | NORTH LITTLE ROCK, AR | Team lift out | Other | 100.0% |
| PRIVATE ADVISOR GROUP, LLC | 2 | Apr 10, 2023 | Jan 1, 2025 | MORRISTOWN, NJ | Team lift out | Ibd to RIA | 0.3% |
| PROSPERA FINANCIAL SERVICES, INC. | 2 | Sep 8, 2021 | Sep 16, 2021 | IRVINGTON, VA | Team lift out | RIA to RIA | 1.4% |
| SOLERA ASSET MANAGERS, LLC | 2 | Sep 16, 2020 | Apr 16, 2020 | NORTH LITTLE ROCK, AR | Team lift out | Other | 33.3% |
| SOLERA ASSET MANAGERS, LLC | 2 | Sep 16, 2020 | Apr 16, 2020 | SANTA ROSA, CA | Team lift out | Other | 33.3% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Mar 30, 2020 | May 20, 2020 | FAYETTEVILLE, AR | Team lift out | Ibd to RIA | 0.0% |
| ARVEST WEALTH MANAGEMENT | 3 | Apr 24, 2019 | Apr 5, 2019 | SPRINGDALE, AR | Team lift out | Ibd to RIA | 1.9% |
| AE WEALTH MANAGEMENT, LLC | 2 | Apr 3, 2019 | Apr 4, 2019 | SANDY, UT | Team lift out | RIA to RIA | 0.8% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 4 | Nov 6, 2018 | Nov 1, 2018 | LITTLE ROCK, AR | Team lift out | Ibd to RIA | 0.2% |
| FOUR PEAKS WEALTH MANAGEMENT, LLC | 2 | Feb 1, 2018 | Feb 16, 2018 | FLAGSTAFF, AZ | Team lift out | Other | 28.6% |
| CONCERT WEALTH MANAGEMENT | 4 | Dec 15, 2017 | Oct 14, 2016 | SAN JOSE, CA | Team lift out | Other | 25.0% |
| CONCERT WEALTH MANAGEMENT | 2 | Sep 25, 2017 | Oct 7, 2016 | SAN JOSE, CA | Team lift out | Other | 10.5% |
| CONCERT WEALTH MANAGEMENT | 9 | Jun 19, 2017 | Nov 14, 2016 | SAN JOSE, CA | Team lift out | Other | 25.0% |
| CONCERT WEALTH MANAGEMENT | 8 | Mar 24, 2017 | Jan 21, 2025 | SAN JOSE, CA | Team lift out | Other | 16.0% |
| CONCERT WEALTH MANAGEMENT | 2 | Dec 31, 2016 | Sep 19, 2016 | ELMHURST, IL | Team lift out | Other | 2.9% |