DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sowa Financial Group
Legal name Sowa Financial Group Inc
Latest filing Feb 12, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Jan 22, 1993
RAUM
$517M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$517M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$517M as of Feb 12, 2026
Mar 30, 2012$135M then
HNW client RAUM$328M as of Feb 12, 2026
Mar 31, 2018$77.7M then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Feb 12, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +23% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $369,298derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $17.8M, 26 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$328M63%
- Individuals$189M37%
- Individual clients
- 419reported
- HNW clients
- 153reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,400reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.8M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven James Beauvais | Lincoln, Ri | Mar 5, 1995 | 46 y | 0 |
| Donna Grace Sowa AllardCertified Financial Planner | Lincoln, Ri | Mar 30, 2007 | 20 y | 0 |
| Nathan Lee BeauvaisCertified Financial Planner | Lincoln, Ri | Dec 10, 2018 | 11 y | 0 |
| Donald Joseph SowaCertified Financial Planner | Lincoln, Ri | Jan 1, 2026 | 38 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Grace Donna Sowa Allard · Presidentcontrolsince 04/2024 · owns 50% to 75%
- Joseph Daniel Sowa · Vp, Managing Partner, Ccocontrolsince 04/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lincoln, Ri · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 12, 2026accounts (Item 5.F.2.f) moved from 525.0 to 1,400.0 (+167.0%) between the annual amendments of 2025-03-10 and 2026-02-12; the peer median change was +6.0% (1256 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 525 to 1,400Nov 10, 2025 to Feb 12, 2026
- BD registered reps · 3 to 4Nov 10, 2025 to Feb 12, 2026
- HNW clients · 114 to 153Nov 10, 2025 to Feb 12, 2026
- Individual clients · 411 to 419Nov 10, 2025 to Feb 12, 2026
- Assets in custody · $14.3M to $17.8MNov 10, 2025 to Feb 12, 2026
- Employees · 7 to 8Nov 10, 2025 to Feb 12, 2026
- Financial planning clients · 1-10 to 11-25Nov 10, 2025 to Feb 12, 2026
- Discretionary RAUM · $420M to $517MNov 10, 2025 to Feb 12, 2026
- HNW RAUM · $234M to $328MNov 10, 2025 to Feb 12, 2026
- Individual RAUM · $186M to $189MNov 10, 2025 to Feb 12, 2026
- RAUM · $420M to $517MNov 10, 2025 to Feb 12, 2026
- Accounts · 1,223 to 525Oct 30, 2024 to Mar 10, 2025
- Advisory employees · 4 to 3Oct 30, 2024 to Mar 10, 2025
- Advisory activities · 5 to 3Oct 30, 2024 to Mar 10, 2025
- BD registered reps · 4 to 3Oct 30, 2024 to Mar 10, 2025
- Corporate clients · 1 to 0Oct 30, 2024 to Mar 10, 2025
- HNW clients · 88 to 114Oct 30, 2024 to Mar 10, 2025
- Individual clients · 420 to 411Oct 30, 2024 to Mar 10, 2025
- Assets in custody · $8.7M to $14.3MOct 30, 2024 to Mar 10, 2025
- Financial planning clients · 1-10 to 1-10Oct 30, 2024 to Mar 10, 2025
- State-registered IARs · 4 to 3Oct 30, 2024 to Mar 10, 2025
- Discretionary RAUM · $352M to $420MOct 30, 2024 to Mar 10, 2025
- HNW RAUM · $172M to $234MOct 30, 2024 to Mar 10, 2025
- Individual RAUM · $180M to $186MOct 30, 2024 to Mar 10, 2025
- RAUM · $352M to $420MOct 30, 2024 to Mar 10, 2025
- Accounts · 1,253 to 1,223Oct 2, 2023 to Mar 18, 2024
- HNW clients · 72 to 88Oct 2, 2023 to Mar 18, 2024
- Individual clients · 443 to 420Oct 2, 2023 to Mar 18, 2024
- Assets in custody · $10.7M to $8.7MOct 2, 2023 to Mar 18, 2024
- Financial planning clients · 11-25 to 1-10Oct 2, 2023 to Mar 18, 2024
- Discretionary RAUM · $311M to $352MOct 2, 2023 to Mar 18, 2024
- HNW RAUM · $133M to $172MOct 2, 2023 to Mar 18, 2024
- Individual RAUM · $177M to $180MOct 2, 2023 to Mar 18, 2024
- RAUM · $311M to $352MOct 2, 2023 to Mar 18, 2024
- Accounts · 1,233 to 1,253Nov 2, 2022 to Mar 31, 2023
- Advisory activities · 4 to 5Nov 2, 2022 to Mar 31, 2023
- Corporate clients · 0 to 1Nov 2, 2022 to Mar 31, 2023
- HNW clients · 92 to 72Nov 2, 2022 to Mar 31, 2023
- Individual clients · 419 to 443Nov 2, 2022 to Mar 31, 2023
- Assets in custody · $23.8M to $10.7MNov 2, 2022 to Mar 31, 2023
Signals
3 dated events
- Joseph Donald Sowa (President / Chief Compliance Officer) no longer on Schedule A of Sowa Financial Group (listed 2024-03-18, absent 2024-05-14)May 14, 2024 · Control person left · inference
- Joseph Daniel Sowa (Vice President) appeared on Schedule A of Sowa Financial GroupMar 31, 2023 · Control person joined · fact
- Grace Donna Sowa Allard (Vice President) appeared on Schedule A of Sowa Financial GroupMar 31, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- team@sowafinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-434-8090reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sowafinancialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SOWAFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 401-434-8090reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- sowafinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sowafinancial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026