DFX Intelligence

Data Factory

RIA / WealthAdvisor42 years in industry

HARVEY I SPIRA

Advisor at SOWELL MANAGEMENT

NORTH LITTLE ROCK, AR | New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7ea8d6a1-4f31-ff41-c0ff-1bf4a595ff9a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2005 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOWELL MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 25, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 25, 1984
First registration: Mar 30, 2005
Dual registered: no
IAPD individual key: 1247321

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOWELL MANAGEMENT	Independent wealth	Feb 28, 2021	n/a	yes	NORTH LITTLE ROCK, AR\|New York, NY	Current employment
PRESCAP ADVISORS LLC	n/a	Dec 23, 2020	Apr 20, 2021	no	New York, NY\|GARDEN CITY, NY	Previous registration
VIRTUE CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 1, 2020	Apr 27, 2021	no	New York, NY\|BRENTWOOD, TN	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Dec 24, 2013	Jun 8, 2020	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
FURTHER LANE ASSET MANAGEMENT, LLC	Former SEC adviser	Jul 2, 2013	Dec 26, 2013	no	NEW YORK, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 3, 2007	Jul 2, 2013	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 30, 2005	Jul 13, 2007	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VIRTUE CAPITAL MANAGEMENT, LLC	PRESCAP ADVISORS LLC	Apr 27, 2021	Dec 23, 2020	-125	Firm change after gap	Other
PRESCAP ADVISORS LLC	SOWELL MANAGEMENT	Apr 20, 2021	Feb 28, 2021	-51	Firm change after gap	Other
B. RILEY WEALTH ADVISORS, INC.	VIRTUE CAPITAL MANAGEMENT, LLC	Jun 8, 2020	Jun 1, 2020	-7	Firm change	Ibd to RIA
FURTHER LANE ASSET MANAGEMENT, LLC	B. RILEY WEALTH ADVISORS, INC.	Dec 26, 2013	Dec 24, 2013	-2	Firm change	Other
UBS FINANCIAL SERVICES INC.	FURTHER LANE ASSET MANAGEMENT, LLC	Jul 2, 2013	Jul 2, 2013	0	Firm change	Other
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	Jul 13, 2007	Aug 3, 2007	21	Firm change	Wirehouse to wirehouse

Relationships

Registered with (7)

→ SOWELL MANAGEMENTRegistered adviserregistration: current employment
Feb 28, 2021 to presentfactForm ADV
→ VIRTUE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 1, 2020 to Apr 27, 2021factForm ADV
→ PRESCAP ADVISORS LLCRegistered adviserregistration: previous registration
Dec 23, 2020 to Apr 20, 2021factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Dec 24, 2013 to Jun 8, 2020factForm ADV
→ FURTHER LANE ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 2, 2013 to Dec 26, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 3, 2007 to Jul 2, 2013factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Mar 30, 2005 to Jul 13, 2007factForm ADV

Dated events

No dated event names this entity yet.