SOWA FINANCIAL GROUP

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Rhode Island, United States

Employees

Total Number of Employees	7
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	4
Registered State Investment Advisers	4
Licensed Agents of an Insurance Company	4
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,223	$352.2M
Non-Discretionary	0	$0
Total	1,223	$352.2M

Clients

Type	Number	RAUM
Individuals	420	$180.3M
HNW Individuals	88	$171.9M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	1	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	9
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersSEE SCHEDULE D
Compensation	% of AUMFixed fees

Identifiers

SEC RIA File Number	801-43008
SEC ERA File Number	801-43008
SEC CIK Numbers	1806226
SEC CRD Numbers	107646
Legal Entity Identifier	None

Principal Office

24 ALBION ROAD
SUITE 340
LINCOLN
RI
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic