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SOWA FINANCIAL GROUP

LINCOLN, RI · CRD 107646 · IAPD ↗ · sowafinancial.com · 401-434-8090

$517.0MRegulatory AUM
3Advisory reps
8Employees
5Clients
11-25Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
March 2026 — SOWA FINANCIAL GROUP notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
March 2026 — SOWA FINANCIAL GROUP reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
March 2026 — SOWA FINANCIAL GROUP crossed $500M in regulatory AUM ($419.7M -> $517.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
April 2025 — SOWA FINANCIAL GROUP notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.