Data / Investment advisers / Rhode Island / Sowa Financial Group
Sowa Financial Group, Lincoln, RI: $517 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Sowa Financial Group is an SEC registered investment adviser with its main office in Lincoln, Rhode Island and reports $517 million in regulatory assets under management in its Form ADV filed February 12, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 107646
- SEC file number
- 801-43008
- SEC status
- Approved, effective January 22, 1993
- Legal name
- Sowa Financial Group Inc
- Main office
- 24 Albion Road Suite 340, Lincoln, RI 02865
- Phone
- (401) 434-8090
- Website
- sowafinancial.com
- Regulatory AUM
- $517,016,775 in the Form ADV filed February 12, 2026
- Discretionary AUM
- $517,016,775
- Accounts
- 1,400
- Employees
- 8, of which 3 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- February 12, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 153 | $328.2 million |
| Individuals (other than high net worth individuals) | 419 | $188.8 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $517 million | February 12, 2026 |
| December 1, 2025 | $419.7 million | November 10, 2025 |
Other advisers in Rhode Island
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Blue Fin Capital, Inc. | Warren | $755.9 million | Not listed | adviserinfo.sec.gov |
| Newman Dignan & Sheerar, Inc | Providence | $731.3 million | Not listed | adviserinfo.sec.gov |
| SK Wealth Management, LLC | Providence | $639 million | Not listed | adviserinfo.sec.gov |
| Mystic Asset Management | Warwick | $614.6 million | Not listed | adviserinfo.sec.gov |
| Barrett & Company | Providence | $529.7 million | Not listed | adviserinfo.sec.gov |
| Brown, Lisle/Cummings, Inc | Providence | $487.3 million | Not listed | adviserinfo.sec.gov |
| Lincoln Capital Corporation | East Greenwich | $418.3 million | Not listed | adviserinfo.sec.gov |
| Hall Capital Management Company, Inc. | Barrington | $411.6 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rhode Island
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Sowa Financial Group on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.