To “Walk-the-Walk”, it takes dedicated people. A company is only as strong as its people and what a company accomplishes is only accomplished by its employees and their commitment to excellence. A truly successful company needs employees who continually strive to look for innovative ways to work more effectively and efficiently. The staff of Sowell Management Services is committed to providing our clients superior service.
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The Sowell Team
Bill Sowell | CHIEF EXECUTIVE OFFICER
William “Bill” Sowell began his career in the financial services industry in 1990 where he quickly became a top producer within the industry. In 1995, Bill began a fee-only practice now known as Sowell Management Services, which services some of the top independent Broker/Dealers in the United States. As CEO and a member of the firm’s Investment Committee, Bill’s primary role is to oversee sustainable and continued growth for the firm, regulatory compliance and public relations. Bill has strong roots in the community and has served as Past President of the Rotary Club of Little Rock and is a Paul Harris Fellow. He served on the Board of Directors and also as Past Chair of Leadership Greater Little Rock and supported the Youth Leadership Institute and numerous other nonprofit organizations.
Bill is married to Cindy and has two children: Abby and Evan.
Chuck Hicks | PRESIDENT
Charles “Chuck” C. Hicks, Jr., received a Bachelor of Science in Business Administration from Henderson State University with a dual major in management and marketing. Upon graduation Chuck began his professional career with a Fortune 200 manufacturing company. He spent 10 years with the organization and upon his departure had been elevated to Vice President and General Manager of one of the company’s most profitable divisions. In the mid-1990s Chuck started a consulting firm that provided expertise in the areas of manufacturing and distribution systems, sales and marketing plans, mergers and acquisitions, and financial analysis.
Chuck began his career in financial services with Sowell as a Senior Vice President of Business Development before being promoted to Chief Operating Officer in 2015. In his current role, he oversees the company’s day-to-day operations, including revenue and sales growth; expense, cost and margin control; and monthly, quarterly and annual financial goal management.
Chuck is married to Sara, and they have two daughters and one son.
Keith Krueger | CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER
Keith has held senior leadership and management positions at both regional and national levels. He has been instrumental at building businesses and managing turnaround situations. He has firsthand corporate management experience in wide range of areas including Product Creation, Business Development, Marketing, and Risk Management for trading/deal transactions. Recent experience includes Investment Banking, deal structure, firm valuation and succession planning, with a focus on financial statement analysis for the Registered Investment Advisor industry.
Keith is a proactive leader that understands the importance of responsibility, accountability and integrity to the success of any project. He has utilized his experience to help many clients and friends as a consultant and mentor.
Keith and his wife Maria currently reside in Little Rock, they enjoy traveling and fly fishing.
David D. Moenning | CHIEF INVESTMENT OFFICER
Dave graduated Northern Illinois University in 1980 with a degree in Computer Science and Economics. He has been an independent money manager since 1987, became a partner in a private money management firm in 1986 and in 1989 founded his own firm. Dave has served as Chairman and is a Past President of the National Association of Active Investment Managers (NAAIM). Dave is also a sought-after author on the markets. His “State of the Markets” column, which began in the late 1990’s, has blossomed into an award-winning daily “market missive”focusing on the key drivers to both short- and long-term market movements. Dave’s writing has been featured on USA Today, Seeking Alpha, Benzinga, MarketWatch, TheStreet and many other media outlets.
Dave and Catherine, his wife of 36 years, have 3 adult children and reside in Evergreen, CO.
Cindy Sowell | SENIOR VICE PRESIDENT of CORPORATE MEETING PLANNING
Cindy Sowell has been with Sowell Management Services since 2001. In addition to her active management of the company, Cindy plans and coordinates all corporate meetings, conferences, and special events. Prior to working for Sowell Management, Cindy worked for Pacific Life Insurance as a Corporate Meeting Planner. Her experience working with the corporate staff and Financial Advisors on a training and incentive basis at Pacific Life has been a great asset to her daily interaction with our Financial Advisors today.
Jeremy Stalcup | ADVISOR SUPPORT TEAM LEADER
Jeremy Stalcup received a Bachelor of Business Administration in Finance from the University of Arkansas at Little Rock were he had the unique opportunities of studying the investment strategies of Warren Buffet and helping to manage an investment portfolio donated to the university. He began his career at a local broker where he helped market a TV and radio show and eventually became Operations Manager. He recently worked on the retail side of the business as an advisor where he managed his own book of business giving him perspective on both challenges and opportunities for advisors in today’s environment. Jeremy has worked in Business Development and now serves as Administrative Officer where he works on Compliance and many other areas of the business. He has passed Level 1 of the CFA designation, holds a Series 7 and Series 66 Securities Licenses and an Insurance License. Jeremy volunteers as an inner city mentor where he coaches basketball for underprivileged youth.
Jeremy resides in North Little Rock with his wife, Katie and their daughter, Ezra who goes by “Ezzie.”
Matt Estes | VICE PRESIDENT OF BUSINESS DEVELOPMENT
Matt is a native Arkansan and graduated from the University of Arkansas in 1984 with a degree in Bachelor of Arts. He started his career in the investment industry at Dean Witter in 1987. He moved to Stephens in 1990 to join the Institutional Equity Sales division. In 2006 he was asked to manage their Professional Strategies Group an Executive Financial Services area of the firm dealing with all the “C” level officers at the 400 companies they wrote research for.
He moved to Morgan Stanley in 2012 to become the Sales Manager for Arkansas, Mississippi and West Tennessee. He then moved to Mississippi Investment Management in the role of Regional Sales Director from 2014 to June of 2017.
He joined Sowell Management as the team leader in Business Development in September of 2017 is responsible for selling product services and recruiting advisors to join Sowell’s platform.
Don Moenning | PORTFOLIO MANAGER
Don wears multiple hats at Sowell Management as he is a member of the Investment Committee, a portfolio manager for the firm’s Flagship Top Stocks portfolio, and a member of the advisor relations team. Prior to joining SMS, Don spent 7 years as an equity analyst and 4 years as portfolio manager at Heritage Capital Management, a private investment management firm specializing in active, risk-managed portfolio strategies – Heritage merged with Sowell Management in 2015. Don is a graduate of the University of Puget Sound with degrees in both Economics and Business Leadership. Don holds a Series 65 Securities License.
Don lives in Denver, CO with his fiancé, Grace, and is an avid outdoorsman enjoying snowboarding, hiking, and backpacking.
Lindsay Lingo | DATA & TECHNOLOGY TEAM LEADER
Lindsay Lingo graduated from Arkansas State University where she earned a BS in Marketing with an emphasis in management. Prior to joining Sowell Management Services, Lindsay worked for Morgan Keegan, Inc. where she was a Registered Sales Assistant. Lindsay holds Series 7, 63 & 66 Securities Licenses. Through her hard work and dedication, Lindsay has become a valuable member of the management team and is responsible for all data.
Emily Hoyt | DATA & TECHNOLOGY ADMINISTRATOR
Emily joined Sowell Management Services in 2014 as the firm’s Operations Administrator. In her current role, she is responsible for overseeing firm trading, billing and operational support. Emily is dedicated to providing friendly service while helping advisors and clients.
Previously, Emily worked in brokerage accounting and capital management for Stephens, Inc., where she reconciled accounts, handled transactions and cashiering, opened new accounts and performed various support duties for top firm producers. Emily earned bachelor’s degrees in both Accounting and Finance from Arkansas State University and holds her Series 7 and Series 66 Securities Licenses.
Emily enjoys traveling and currently resides in Little Rock with her husband, Blake, and their dog, Polo.
Valerie Malo-Bialek | ACCOUNT MANAGER
Valerie brings a wealth of knowledge and experience to the operations team at Sowell Management, having been in the investment management business since 1985. Prior to joining Sowell, Valerie was the Chief Information Officer at Heritage Capital Management where she was responsible for all data functions including performance reporting, billing, and account management. In her current role, Valerie works directly with SMS advisors and the operations team. Valerie is a graduate from Northern Illinois University.
Valerie lives in Elgin, IL with her husband Gene and their two sons, Alex and Christian.
Connie Barron | OPERATIONS SPECIALIST
Connie Barron brings invaluable experience to the Sowell Management Services team with over 17 years at some of the biggest names in the financial services industry. Connie began her career with Merrill Lynch as a Sales Assistant where she worked with several of the firm’s top producers and also received her Series 7 and Series 63 Securities Licenses. Connie also worked as a Client Service Associate with Morgan Stanley Smith Barney. Connie is a great asset to the Sowell Management Services team with her knowledge and understanding of operations and her extensive background in customer service.
Connie is married to John and has two sons, Hunter and Matt, as well as a daughter and son-in-law, Lindsey and Matt.
Curtis Jones | OPERATIONS SPECIALIST
Curtis graduated from the University of Central Arkansas in 2010 where he earned his BS in Finance. Prior to joining Sowell Management Services in 2016, Curtis worked in the Portfolio Department at Stephens Inc, where he reconciled custodial data, prepared quarterly reports, calculated and audited performance, and was responsible for numerous other back office duties. In his current role as Operations Specialist, he is responsible for overseeing accounts, distributing quarterly reports, and fulfilling an array of other operational duties.
Curtis currently resides in Sherwood with his wife Karla, and their dog, Sandy.
Patrick Jones | CREATIVE DIRECTOR
Patrick joined Sowell Management Services in 2015. He studied graphic design and fine art at Arkansas State University. In the nearly thirty years since beginning his career as a typesetter and designer for a national florist network, he has evolved to be a respected and sought after designer, Arkansas Advertising Federation award winner, copywriter, photographer and visual artist. Besides his work with his own design and photography companies, he excelled as art director for Savvy and Arkansas Wild magazines, and advertising and book designer for Arkansas Times. His resume also includes previous positions as graphic designer with At Home in Arkansas magazine, creative director with AY Magazine, as well as maintaining a long list of private clientele.
Patrick resides in Maumelle with his wife, Lisa.
THOMAS KNIGHT | ADVISOR SOLUTIONS
Thomas Knight, CFP®, grew up in the Central Texas area, and received a double major in Economics and Philosophy from the University of Texas at Austin. He began his career at NFP Advisor Services Group, a top 10 independent broker/dealer in Austin, Texas. He started out in the Advisory Services division, then managed their internal sales desk, and finally served as a VP of Business Development, working with breakaways and other financial advisors to consider independence.
Thomas then moved to Little Rock and was a VP and COO of a couple of retail wealth management firms. He joined SMS in May of 2017 and has focused on a number of internal projects. He also supports the business development arm of SMS.
Thomas lives with his wife Jennifer and daughter Ruby in downtown Little Rock.
MORGAN SIZER | TRADING MANAGER
Morgan brings eighteen years of experience within financial markets and has held senior roles within equity sales trading, institutional proprietary trading, hedge fund management, and high frequency arbitrage functions. He has spent his trading career focusing on the research, development, and implementation of profitable short to mid-term low beta, alpha-maximizing quantitative strategies spanning a broad range of international markets and asset classes, with a particular emphasis on equities, equity derivatives, spot and forward foreign exchange.
Morgan holds a Bachelors of Commerce degree in Finance from the University of the Witwatersrand (South Africa), and the FINRA Series 65 qualification.
Carmen Smith | COMPLIANCE OFFICER
Carmen Smith earned her Juris Doctor degree from the University of Arkansas at Little Rock’s William H. Bowen School of Law. She was admitted to the Arkansas State Bar in 2008. Prior to joining SMS, Carmen served as Legal Counsel for DataPath, Inc. in Little Rock and was associated with Turner & Associates, P.A., law firm of North Little Rock.
Carmen’s professional career has included corporate and transactional law, as well as employment law, employee benefits law, licensing and compliance guidance on matters involving federal regulatory agencies. Carmen is a member of the American Bar Association, the Arkansas Bar Association, and is admitted to practice before the U.S. District Courts for the Eastern and Western districts of Arkansas.
Carmen’s civic affiliations include serving on the Board of Commissions for the Central Arkansas Water utility, the University of Arkansas at Little Rock Bowen School of Law Alumni Association, and her passion: fundraising and volunteering for the Arkansas Chapter of the Cystic Fibrosis Foundation.
Maria Krueger | CORPORATE COMMUNICATIONS & TECHNOLOGY ADMINISTRATOR
Maria joined Sowell Management Services in 2017 as the firm’s Corporate Communications and Technology Administrator. In her current role, she is responsible for overseeing implementation of Salesforce and all associated integrations and communicating “All Things Sowell” to our advisors and clients.
Previously, Maria worked in multi-media marketing for the Tampa Bay Business Journal, part of American City Business Journals, where she was the Director of Events. Prior to overseeing all events for the TBBJ, Maria was Associate Director assisting the President and Publisher with the day to day operations of the firm and worked extensively with Salesforce for 7+ years for all Sales and Marketing.
Maria resides in Little Rock with her husband, Keith.
Ryan Willson | TRANSITION MANAGER
Ryan is a graduate of the University of California, San Diego with a Bachelor’s degree in Economics. Ryan brings a vast array of knowledge and experience having held various roles in operations and customer service in the financial services industry since 2004.
Ryan currently resides in San Jose, CA with his wife Connie and three kids. He is actively involved with his kids’ schools and coaching sports.
Kathi Kinder | BOOKKEEPER
Kathi holds a BS in Accounting and began her career in the accounting arena in 2001 upon relocating with her husband Donnie when he transferred from the Texas Army National Guard to the Arkansas Army National Guard. Kathi currently serves as the Secretary/Treasurer for the Auxiliary to the National Guard Association of Arkansas (ANGAA) and is very involved within the National Guard community.
Kathi is married to Donnie. They have one son, Justin, and a granddaughter Rose.
Sarah Ring | RECEPTIONIST
Sarah began working for SMS as a temp in April 2017 and was soon welcomed to join the Sowell Team. She is the first voice you hear when you call and the first face you see when you visit the offices. She graduated from Arkansas State University with a BFA in Theatre. Though new to the finance world, Sarah excels in communication and is a lending hand to everyone in the office. When Sarah isn’t at Sowell, she’s performing either in front of a camera, on a stage, or as a princess for a child’s birthday party. She is blessed to be a part of the Sowell team!
Sarah lives in Maumelle.
Matthew Creswell | OPERATIONS ASSISTANT
Matthew Creswell joined Sowell management in September of 2016. He has a B.A. from the University of Central Arkansas and a M.A. from the University of Iowa. He holds series 7 & 66 licenses. Prior to joining Sowell Management Matthew was an independent IAR for Stratos Wealth Partners.
Matthew lives in Conway, Arkansas
Jani Gillman | ADVISOR SUPPORT & OPERATIONS SPECIALIST
Jani joins Sowell Management Services with a wealth of knowledge and experience to add to the Operation and Advisor Support departments. Jani wore many hats at her previous firm and advanced to Director of Operations. Prior to joining the financial industry, Jani developed her knowledge of corporate process and procedure through the ownership and management of businesses over 13 years. She enjoys biking, rollerblading and spending time with her sons.