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RIA / WealthAdvisor26 years in industry

ERIC MICHAEL HARLEY

Advisor at SOWELL MANAGEMENT

Indianapolis, IN | NORTH LITTLE ROCK, AR

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 13, 2000 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: Jul 28, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 28, 2000
First registration: Oct 13, 2000
Dual registered: no
IAPD individual key: 4193614

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	Jan 5, 2017	n/a	yes	Indianapolis, IN\|NORTH LITTLE ROCK, AR	Current employment
CONCERT WEALTH MANAGEMENT	Former SEC adviser	Jul 27, 2016	May 4, 2017	no	Indianapolis, IN\|SAN JOSE, CA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Aug 11, 2016	no	INDIANAPOLIS, IN\|CARMEL, IN	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jan 9, 2003	May 13, 2016	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|CARMEL, IN\|PHILADELPHIA, PA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 13, 2000	Jan 7, 2003	no	INDIANAPOLIS, IN	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
CONCERT WEALTH MANAGEMENT	SOWELL MANAGEMENT	May 4, 2017	Jan 5, 2017	-119	Firm change after gap	Other
SIGNATOR INVESTORS, INC.	CONCERT WEALTH MANAGEMENT	Aug 11, 2016	Jul 27, 2016	-15	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	0	Bulk transfer	Other
PRUDENTIAL EQUITY GROUP, LLC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Jan 7, 2003	Jan 9, 2003	2	Firm change	Other

Relationships

Registered with (5)

→ SOWELL MANAGEMENTRegistered adviserregistration: current employment
Jan 5, 2017 to presentfactForm ADV
→ CONCERT WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 27, 2016 to May 4, 2017factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Aug 11, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 9, 2003 to May 13, 2016factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 13, 2000 to Jan 7, 2003factForm ADV

Dated events

No dated event names this entity yet.