CIK 1633697
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-06-29). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-06-29. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| SEATON, DARYL, T | PRESIDENT AND CEO | 2020-01 | <5% ·◆ |
| SOWELL, CYNTHIA | EVP | 2009-03 | <5% ·◆ |
| SOWELL, WILLIAM, CHESLEY | FOUNDER AND CHIEF STRATEGY OFFICER | 2001-12 | <5% ·◆ |
| KRESGE, RODNEY | CHIEF COMPLIANCE OFFICER | 2019-10 | <5% |
| MERCHANT SOWELL HOLDINGS, LLCentity | MEMBER | 2026-06 | 75%+ ·◆ |
| SOWELL MANAGEMENT, INCentity | MEMBER | 2009-03 | 25–50% |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| HICKS, CHARLES, CLIFFORD | CHIEF CUSTOMER OFFICER · PRESIDENT · CHIEF OPERATING OFFICER | 2024-10 | — not seen at a tracked firm |
| INGLIS, JASON, FAIRBANKS | CHIEF REVENUE OFFICER | 2024-10 | — not seen at a tracked firm |
| BATES, MICHAEL, LINDSAY | GENERAL COUNSEL | 2021-03 | Keel Point, LLC |
| KRUEGER, KEITH, WILLIAM | CHIEF OPERATING OFFICER | 2021-01 | — not seen at a tracked firm |
| SHAVER, LEILA, MEHRIZI | CHIEF COMPLIANCE OFFICER | 2019-09 | — not seen at a tracked firm |
| STALCUP, JEREMY, MARK | CCO · CHIEF COMPLIANCE OFFICER | 2019-05 | — not seen at a tracked firm |
| MOENNING, DAVID, DONALD | CHIEF INVESTMENT OFFICER | 2017-09 | — not seen at a tracked firm |
| SYLER, GREGORY | CHIEF COMPLIANCE OFFICER | 2017-06 | — not seen at a tracked firm |
| COLLINS, KIMBERLY, LYNN | CHIEF COMPLIANCE OFFICER | 2014-08 | — not seen at a tracked firm |
| GARMON, JOHN, WILLIAM | CHIEF COMPLIANCE OFFICER | 2013-10 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
