Back Office Made Easy

One of the most expensive and time-consuming aspects of business in the financial services industry is back office. At Sowell Management Services, we’ve established ourselves as a reliable, efficient provider of core back office services over the years. We realize that having a fully functioning, smooth back office operation is critical to growing your business. Thus, we’ve built our business to accommodate in this area.

We believe one of our primary core competencies is our ability to offer efficient, substantial back office services to our partners. We provide all of the necessary back office tools to help offload these expensive and time-consuming areas, allowing you to work on your business, not in it! We offer our partners access critical back office services like billing and reporting, cashiering, paperwork, compliance, and much more. Best of all, we bundle it up into one low cost.

Billing & Reporting
Account Opening & Paperwork
Transition Services
Outsourced CIO

Our Services

Expand the boxes below to see what Sowell Management Services can our IAR and RIA partners in the Back Office space.

Utilizing Portfolio Center, which aggregates real-time custodial data, we offer full billing and reporting capabilities for our IAR and RIA partners. Capabilities include:

  • Standardized Monthly Billing
  • Quarterly Performance Reporting
  • On-Demand Performance Reporting
  • Payroll Services
  • Accounting Services
  • Dedicated Team to Handle Case-by-Case Billing & Reporting Inquiries

We handle all cashiering requests in house, making it easy to process requests on your book of business. We handle the following cashiering duties for you:

  • Deposits
  • Withdrawals
  • One-Time Distributions
  • Monthly or Recurring Distributions
  • Journaling
  • Any One-Time Case By Case Requests

As part of our “white glove” service model, we make handling account opening and paperwork processing a breeze. We offer the following account opening and paperwork services:

  • On-Demand Paperwork Processing
  • Pre-Filled Paperwork for New Accounts
  • eSignature and DocuSign Processing

We offer a dedicated, seasoned transition team to handle the transition of your book of business in a smooth and efficient manner. We have experience transitioning all types of business, from $1.8mm IAR advisors, to $80mm RIA firms.

Are you an RIA seeking a customized, white-labeled portfolio solutions lineup for your business? Do you need help with materials a CIO would normally produce?

At Sowell Management Services, we offer what we like to call the “Outsourced CIO” as a back office service. With the help of our Investment Committee, we will custom-build and brand your firm’s very own portfolio lineup to offer to your clients. We have experience building customized, white-labeled solutions platforms for RIAs large and small, including varying investment management types and styles.

Other “Outsourced CIO” services available are:

  • White-Labeled Market Commentary & Analysis
  • Fact Sheets
  • Consulting

Inquire today and see how our “Outsourced CIO” service can benefit your firm!

Outsourced CCO

We offer a fully outsourced compliance department available to our RIA partners. The scope of this service is vast, and includes the following services and compliance-oriented tasks:

  • ADV Filing
  • U4/Licensing
  • Audit
  • Document Review
  • Compliance Oversight
  • Trade Review
  • Advisor Onboarding and Offboarding
  • Annual Attestation
  • Review/Approve Marketing Materials
  • Customer Complaints
  • Email Hosting
  • Email Archiving
  • Email Review
  • Website/Social Media Archiving-Review

Learn More

For more information about how Sowell Back Office Services can benefit your business, please inquire and we will be happy to provide additional information.