SOWELL FINANCIAL SERVICES LLC

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Sowell Financial Services is based out of North Little Rock. Sowell Financial Services is a large advisory firm with 3514 clients and discretionary assets under management (AUM) of $1,433,710,824 (Form ADV from 2019-02-01). Their last reported 13F filing for Q4 2018 included $706,030,000 in managed 13F securities and a top 10 holdings concentration of 23.15%. Sowell Financial Services's largest holding is JPMorgan Ultra-Short Income ETF with shares held of 722,116. Whalewisdom has at least 9 13F filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $706.03 Million
  • Prior Market Value $688.834 Million
  • New Purchases212 stocks
  • Additional Purchases149 stocks
  • Sold out of123 stocks
  • Reduced holdings in93 stocks
  • Top 10 Holdings % 23.15 %
  • Turnover % [1]:72.98%
  • Turnover Alt % [2]: 52.52 %
  • Time Held Top20:2.90 quarters
  • Time Held Top10:2.10 quarters
  • Time Held All:3.49 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2018-11-14

Performance for Q3 2018: -4.15%
Performance Last 4 Quarters: 2.36%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SOWELL MANAGEMENT SERVICES
7301 RIVER POINTE DRIVE
NORTH LITTLE ROCK AR    72113
Country: United States

Business Phone: 501-219-2434
Fax: 501-812-6380
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: AR
Number of employees: 73
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 3514
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.A (1).,11.A (2),11.D (1),11.D (2),11.D (4),11.D (5),11.H (1).(a),11.H (1).(b)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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SOWELL FINANCIAL SERVICES, LLC

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
SOWELL, WILLIAM, CHESLEY MANAGING MEMBER/CEO/CCO 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO/CCO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2009-03-01
SOWELL, CYNTHIA MEMBER 03/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC MEMBER direct 2009-03-01
SOWELL MANAGEMENT, INC MEMBER 03/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC MEMBER direct 2009-03-01
HICKS, CHARLES, CLIFFORD PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC CHIEF OPERATING OFFICER direct 2015-04-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT direct 2015-04-01
KRUEGER, KEITH, WILLIAM CHIEF OPERATING OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC CHIEF OPERATING OFFICER direct 2017-02-01
CONCORDIUS CAPITAL ADVISORS CHAIRMAN, AND CHIEF EXECUTIVE OFFICER indirect 2013-06-01
CONCORDIUS CAPITAL ADVISORS OWNER indirect 2013-06-01
CONCORDIUS CAPITAL ADVISORS CHIEF OPERATIONS OFFICER EVP direct 2013-12-01
CONCORDIUS CAPITAL ADVISORS, LLC MANAGING MEMBER direct 2013-12-01
SOWELL, WILLIAM, CHESLEY PRESIDENT SOWELL MANAGEMENT INC. 12/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO/CCO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2009-03-01

SOWELL FINANCIAL SERVICES, LLC

ownership team - last updated 2017-09-29
Name Title Start Date Direct/Indirect % Ownership
KRUEGER, KEITH, WILLIAM CHIEF OPERATING OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC CHIEF OPERATING OFFICER direct 2017-02-01
CONCORDIUS CAPITAL ADVISORS CHAIRMAN, AND CHIEF EXECUTIVE OFFICER indirect 2013-06-01
CONCORDIUS CAPITAL ADVISORS OWNER indirect 2013-06-01
CONCORDIUS CAPITAL ADVISORS CHIEF OPERATIONS OFFICER EVP direct 2013-12-01
CONCORDIUS CAPITAL ADVISORS, LLC MANAGING MEMBER direct 2013-12-01
HICKS, CHARLES, CLIFFORD PRESIDENT 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC CHIEF OPERATING OFFICER direct 2015-04-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT direct 2015-04-01
MOENNING, DAVID, DONALD CHIEF INVESTMENT OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HERITAGE CAPITAL MANAGEMENT INC PRESIDENT direct 1989-05-01
SOWELL FINANCIAL SERVICES, LLC CHIEF INVESTMENT OFFICER direct 2015-03-01
HERITAGE CAPITAL MANAGEMENT INC PRESIDENT/CCO direct 1989-05-01 2005-09-07
HERITAGE CAPITAL MANAGEMENT INC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1989-05-01 2007-01-03
HERITAGE CAPITAL MANAGEMENT INC PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1989-05-01 2011-06-27
SOWELL MANAGEMENT, INC MEMBER 03/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC MEMBER direct 2009-03-01
SOWELL, CYNTHIA MEMBER 03/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC MEMBER direct 2009-03-01
SOWELL, WILLIAM, CHESLEY MANAGING MEMBER/CEO/CCO 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO/CCO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2009-03-01
SOWELL, WILLIAM, CHESLEY PRESIDENT SOWELL MANAGEMENT INC. 12/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT/MANAGING MEMBER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO/CCO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/CEO direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC MANAGING MEMBER/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2001-12-01
SOWELL FINANCIAL SERVICES, LLC PRESIDENT indirect 2009-03-01

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