Sowell Management Services is a Fee-Based Third

Transcription

1 2014 AMERICA S BEST TAMPS YOUR INSIDE LOOK AT THE BEST TURN-KEY ASSET MANAGEMENT PROGRAMS FOR FINANCIAL ADVISORS, FAMILY OFFICES AND BROKER-DEALER REPRESENTATIVES.

2 America s Best TAMPs Sowell Management Services 7301 River Pointe Drive, North Little Rock, AR Sowell Management Services is a Fee-Based Third Party Management firm with investment portfolios for individuals, retirement plans, corporations, trusts, foundations, and institutions. As a Third Party Manager, Sowell Management Services manages assets for industry professionals through a network of some of the industry s largest and most respected Independent Broker/Dealers. With clients in almost every state and abroad and with assets close to $370 million under management, we understand the value of listening and providing a service based on your needs, not ours. With a team of dedicated professionals, Sowell Management is committed to providing a positive experience; from customer service to the management of your account(s). We realize, it s all about the overall experience that sets us apart. As with all business relationships, it s also about value. It doesn t matter how much or how little you pay for something, if there s no value, it s not worth the price. Our value proposition is to provide excellent service with flexible and intelligent investment management at a fair price. The Sowell business model is truly a win-win situation for our investment professionals. As complicated as financial planning can be, most successful Financial Advisors do not have time to be everything to everybody. It takes a tremendous amount of time to manage client relationships as well as prospect and develop new relationships. Our business model allows Financial Advisors to spend their time managing and cultivating those relationships while we focus entirely on one aspect of financial planning; Investment Management. Let us show you how a partnership with Sowell Management Services can provide one of your most valued and elusive possessions time. Please contact us at or BusinessDevelopment@sowellmanagement.com to obtain additional information. New business contact: Chuck Hicks Phone: (800) chuck@sowellmanagement.com Brand of Program: Customized SMA High Net worth Stock / Fixed Income / Alternative Investment Portfolios Type of program: SMA and UMA, Mutual Fund, ETF (Tactical and Strategic portfolios) Total assets in program: $370 million Year program began: 2001 Managers on platform vetted: Yes Managers GIPS compliant: Yes Type of products available: SMA and UMA, Mutual Fund, ETF (Tactical and Strategic portfolios), 403(b) account management and 401(k) plan management, Variable Annuity Program uses platform to track reporting of client holdings: Yes Program is compatible for: Brokerage, Trust, RIA Program optimizes for tax and trading efficiency: Yes Sleeve-level reporting: Yes Program links to a trade execution or order management system: Yes Program links to a trust accounting system: Yes Private branding or white labeling possible: Yes Proposal generator: Yes Generates investment policy statements: Yes Asset allocation methodologies: By asset class, by sub-asset class, by suitability, by goal, by objective Rebalancing: Yes, multiple rebalancing options Aggregation of held-away accounts: Yes Custodians supported: Pershing, Fidelity, TD Ameritrade Aggregation of held-away accounts: Yes Custodians supported: Pershing, Fidelity, TD Ameritrade Marketing Support Offered: Yes 31

3 2015 AMERICA S BEST TAMPS YOUR INSIDE LOOK AT THE BEST TURN-KEY ASSET MANAGEMENT PROGRAMS FOR FINANCIAL ADVISORS, FAMILY OFFICES AND BROKER-DEALER REPRESENTATIVES.

4 2015 America s Best TAMPs Sowell Management Services 7301 River Pointe Drive, North Little Rock, AR Sowell Management Services is a fee only third party money management firm, offering turn-key investment portfolios to mass affluent and high net worth individuals, retirement plans, corporations, trusts and foundations. These assets are managed on an off-platform basis, primarily through a broad network of financial intermediaries affiliated with some of the industry s largest an most respected Independent Broker/Dealers and Registered Investment Advisors. With over $500 million in affiliated assets, both domestic and abroad, Sowell Management offers a consultative and customized approach via a service-based offering focused on the business needs of the advisor, along with the underlying demands of their clients. With a team of dedicated professionals assigned to each account, Sowell Management is committed to offering up a white glove experience. Their value proposition is to provide excellent service with flexible and intelligent boutique investment management at a fair price. At Sowell, it s all about the overall advisor experience. The Sowell business model offers a broad and comprehensive range of outsourced services to the financial intermediaries they serve. Grounded in the underlying premise that most advisors do not have the time to be everything to everybody, industry professionals choose to partner with Sowell Mangement to spend more of their time focusing on the activities they enjoy most (like managing and cultivating relationships with their clients) while outsourcing the investment management, technology, and service components of their business. New business contact: Chuck Hicks Phone: (800) chuck@sowellmanagement.com Brand of Program: Customized SMA High Net Worth Stock/Fixed Income/Alternative Investment Portfolios Type of program: SMA and UMA, Mutual Fund, ETF (Tactical and Strategic Portfolios) Total assets in program: $500 million in affiliated assets Year program began: 2001 Managers on platform vetted: Yes Managers GIPS compliant: Yes Type of products available: SMA and UMA, Mutual Fund, ETF (Tactical and Strategic portfolios), 403(b) account management and 401(k) plan management, Variable Annuity Program uses platform to track reporting of client holdings: Yes Program is compatible for: Brokerage, Trust, RIA Program optimized for tax and trading efficiency: Yes Sleeve-level reporting: Yes Program links to a trade execution or order management system: Yes Program links to a trust accounting system: Yes Private branding or white labeling possible: Yes Proposal generator: Yes Generates investment policy statements: Yes Asset allocation methodologies: By asset class, by sub-asset class, by suitability, by goal, by objective Rebalancing: Yes - multiple rebalancing options at all custodians Aggregation of held-away accounts: Yes Custodians supported: Fidelity, Pershing, Schwab, TD Ameritrade Marketing support offered: Yes 31 31

5 2016 AMERICAS BEST TAMPS 2016 AMERICA S BEST TAMPS YOUR INSIDE LOOK AT THE BEST TURN-KEY ASSET MANAGEMENT PROGRAMS FOR FINANCIAL ADVISORS, FAMILY OFFICES AND BROKER-DEALER REPRESENTATIVES.

6 2016 AMERICA S BEST TAMPS Sowell Management Services 7301 River Pointe Drive, North Little Rock, AR Sowell Management Services is a privately held, independent registered investment advisory firm focused on (1) a modern, multi-methodology approach to portfolio design and (2) providing best-in-class back office service to RIAs and IARs. Founded in 2001, Sowell manages more than $600 million in client assets and has offices in Chicago, Denver, and Little Rock, Arkansas. By integrating the best industry technology, highly competitive custodial options, a wide array of portfolio offerings and hands-on personalized services, Sowell can deliver freedom from time-consuming administrative, back office, compliance and portfolio management tasks and free advisors up to focus on revenue-generating activities. Sowell believes that modern times demand modern thinking. When designing portfolios, the firm utilizes Modern Portfolio Diversification or MPD a trademarked, modern approach to asset allocation. Working with Sowell s dedicated Portfolio Design Team, advisors develop portfolios that are diversified not only by asset class, but also across multiple managers, strategies, time frames, and investment methodologies. Using Sowell s diverse platform of investing strategy offerings, which includes access to the entire spectrum of services available at Envestnet, financial advisors can break free from the past and take their practice to the next level. New business contact: Chuck Hicks Phone: Chuck@SowellManagement.com Brand of Program: Sowell Solutions Platform Type of Program: Customized Multi-Strategy, Multi- Manager, Multi-Methodology SMA/UMA Portfolios Total Assets in Program: $625 Million Year Program Began: 2001 Managers on platform vetted: Yes - By SMS Investment Committee Managers GIPS compliant: Yes Type of products available: UMA, SMA, Equity, ETF, Mutual Fund, 401K, 403B, Variable Annuity Program uses platform to track reporting of client holdings: Yes Program is compatible for: Brokerage, Trust, RIA Program optimizes for tax and trading efficiency: Yes Sleeve-level reporting: Yes Program links to a trade execution or order management system: Yes Program links to a trust accounting system: Yes Private branding or white labeling possible: Yes Proposal generator: Yes Generates investment policy statements: Yes Asset allocation methodologies: Asset Classes, Objective, Risk Premia, Investment Methodology, Style Rebalancing: Yes Aggregation of held-away accounts: Yes Custodians supported: TD Ameritrade, Fidelity, Pershing, Schwab, Trust Company of America Marketing Support Offered: Yes 37

7 2017 AMERICA S BEST TAMPS 2017 AMERICA S BEST YOUR INSIDE LOOK AT AT THE THE BEST BEST TURNKEY TURN-KEY ASSET MANAGEMENT ASSET MANAGEMENT PROGRAMS PROGRAMS FOR FINANCIAL FORADVISORS, FAMILY FINANCIAL OFFICES ADVISORS, AND BROKER-DEALER FAMILY OFFICES REPRESENTATIVES. AND BROKER-DEALER REPRESENTATIVES.

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9 2017 AMERICA S BEST TAMPS Sowell Management Services 7301 River Pointe Drive, North Little Rock, AR Sowell Management Services is a privately held, independent, registered investment advisory firm focused on (1) a modern, multi-methodology approach to portfolio design and (2) providing best-in-class back-office service to RIAs and IARs. Founded in 2001, Sowell manages more than $600 million in client assets and has offices in Chicago, Denver and Little Rock, Arkansas. By integrating the best industry technology, highly competitive custodial options, a wide array of portfolio offerings and hands-on personalized services, Sowell can deliver freedom from time-consuming administrative, back office, compliance and portfolio management tasks and free advisors up to focus on revenue-generating activities. Sowell believes that modern times demand modern thinking. When designing portfolios, the firm utilizes Modern Portfolio Diversification or MPD a trademarked, modern approach to asset allocation. Working with Sowell s dedicated Portfolio Design Team, advisors develop portfolios that are diversified not only by asset class, but also across multiple managers, strategies, time frames, and investment methodologies. Using Sowell s diverse platform of investing strategy offerings and back-office solutions, financial advisors can break free from the past and take their practice to the next level. New business contact: Chuck Hicks or Eric Butler Phone: (501) or (800) chuck@sowellmanagement.com; eric@sowellmanagement.com Brand of program: Sowell Solutions Platform and Approved Manager Platform Type of program: Customized Multi-Strategy, Multi- Manager, Multi-Methodology SMA/UMA portfolios Total assets in program: $1.15 billion Year program began: 2001 Managers on platform vetted: Yes - By SMS Investment Committee Managers GIPS compliant: Yes Type of products available: UMA, SMA, Equity, ETFs, Mutual Funds, 401 (k), 403 (b), Variable Annuity Program uses platform to track reporting of client holdings: Yes Program is compatible for: Brokerages, Trusts, RIAs Program optimizes for tax and trading efficiency: Yes Sleeve-level reporting: Yes Program links to a trade execution or order management system: Yes Program links to a trust accounting system: Yes Private branding or white labeling possible: Yes Proposal generator: Yes Generates investment policy statements: Yes Asset allocation methodologies: Asset classes, objective, risk premia, investment methodology, style Rebalancing: Yes Aggregation of held-away accounts: Yes Custodians supported: TD Ameritrade, Fidelity, Pershing, Schwab, Trust Company of America Marketing support offered: Yes 42

10 2017 AMERICA S BEST TAMPS OCEAN AVENUE, SUITE 900, SANTA MONICA, CA PHONE: (800) THETRUSTADVISOR.COM CLICK HERE AND EXPLORE ALL THE WAYS THAT SOWELL MANAGEMENT CAN HELP YOU BECOME INDEPENDENT, BUT NOT ALONE.