We’ll work with you to determine your goals and objectives. Together we will navigate the financial markets and be predatory for opportunities.
We’ll build an action plan to diversify assets and timeframes, while taking advantage of short-term investment opportunities to support your long term goals.
We’ll implement the action plan and monitor constantly to ensure it’s always able to withstand short and medium-term swings.
¹ Deloitte, the future of wealth management 2020.
² Accenture Wealth Management C-Suite Survey 2020
Our experience over the last 20 years inspired us to think about the type of service we would like to see and informed the way we think about the future of finance.
The wealth management industry is undergoing massive change, and we are poised to navigate the emerging landscape. Together we have worked a combined 70 years in capital market and we will merge the greatest of our strengths including trading expertise, market knowledge, and diligent relationship management to offer the best investment experience available.
We are relentless — constantly researching innovative and active solutions that improve outcomes for our clients.
Here to serve investors that include entrepreneurs, corporate leaders, small business owners, high level executives — anyone who appreciates that there are no shortcuts to success and craves a more tactical, high touch experience.
We will call you at the number you provide in the calendar
15 min
THE INFORMATION ON THIS WEBSITE (THE “WEBSITE”) IS NOT AN OFFER TO SELL OR SOLICITATION OF AN OFFER TO BUY AN INTEREST IN ANY INVESTMENT FUND OR FOR THE PROVISION OF ANY INVESTMENT MANAGEMENT OR ADVISORY SERVICES. ANY SUCH OFFER OR SOLICITATION WILL BE MADE ONLY BY MEANS OF A CONFIDENTIAL PRIVATE OFFERING MEMORANDUM RELATING TO A PARTICULAR FUND OR INVESTMENT MANAGEMENT CONTRACT AND ONLY IN THOSE JURISDICTIONS WHERE PERMITTED BY LAW. EAGLE EYE ADVISORS LLL (“EAGLE EYE”) PROVIDES NO ADVICE OR RECOMMENDATIONS WITH RESPECT TO THE USE OF THIS WEBSITE, NOR DO THE CONTENTS OF THIS WEBSITE CONSTITUTE LEGAL, TAX OR ACCOUNTING ADVICE OR ADVICE REGARDING THE SUITABILITY OR PROFITABILITY OF ANY TRANSACTION OR INVESTMENT.
BY ACCESSING THIS WEBSITE, YOU SIGNIFY YOUR AGREEMENT WITH, AND UNDERSTANDING OF, THE FOLLOWING TERMS OF USE AND LEGAL INFORMATION PERTAINING TO BOTH THIS WEBSITE AND ANY MATERIAL ON IT. THIS WEBSITE IS OFFERED TO YOU CONDITIONED ON YOUR ACCEPTANCE WITHOUT MODIFICATION OF THE TERMS, CONDITIONS, AND NOTICES CONTAINED HEREIN. YOUR USE OF THIS WEBSITE CONSTITUTES YOUR AGREEMENT TO ALL SUCH TERMS, CONDITIONS AND NOTICES. EAGLE EYE RESERVES THE RIGHT TO CHANGE THE TERMS, CONDITIONS, AND NOTICES UNDER WHICH THIS WEBSITE IS OFFERED. ALL MATERIALS ON THIS WEBSITE ARE MEANT TO BE REVIEWED IN THEIR ENTIRETY, INCLUDING ANY FOOTNOTES, LEGAL DISCLAIMERS, RESTRICTIONS OR DISCLOSURES, AND ANY COPYRIGHT OR PROPRIETARY NOTICES.
THE WEBSITE IS OWNED BY EAGLE EYE. THE WEBSITE AND ANY AND ALL ACCOMPANYING SCREENS, INFORMATION, MATERIALS, USER DOCUMENTATION, USER INTERFACES, IMAGES, ARRANGEMENTS OF INFORMATION, RELATED SOFTWARE AND OTHER PROPRIETARY PROPERTY OF EAGLE EYE OR ITS LICENSORS ACCESSIBLE VIA THE WEBSITE IS AND SHALL REMAIN THE EXCLUSIVE PROPERTY OF EAGLE EYE AND ITS LICENSORS, AS THE CASE MAY BE. ALL RIGHTS TO THE WEBSITE REMAIN WITH EAGLE EYE OR ITS LICENSORS. THIS WEBSITE IS FOR YOUR PERSONAL AND NON-COMMERCIAL USE. YOU MAY NOT MODIFY, COPY, DISTRIBUTE, TRANSMIT, DISPLAY, PERFORM, REPRODUCE, PUBLISH, LICENSE, CREATE DERIVATIVE WORKS FROM, TRANSFER OR SELL ANY INFORMATION, SOFTWARE, PRODUCTS OR SERVICES OBTAINED FROM THIS WEBSITE.
THIS WEBSITE IS NOT ABSOLUTELY PROTECTED AGAINST UNAUTHORIZED THIRD PARTIES. YOU ACKNOWLEDGE THAT ANY INFORMATION PROVIDED THROUGH THE INTERNET MAY BE POTENTIALLY ACCESSED BY UNAUTHORIZED THIRD PARTIES. ALTHOUGH EAGLE EYE WILL MAKE REASONABLE EFFORTS TO PROTECT THE PRIVACY OF USERS OF THIS WEBSITE, NO GUARANTEE CAN BE MADE THAT UNAUTHORIZED THIRD PARTIES WILL NOT ACCESS THE INFORMATION CONTAINED ON THE WEBSITE. YOU ACKNOWLEDGE THAT EAGLE EYE IS NOT RESPONSIBLE FOR NOTIFYING YOU THAT UNAUTHORIZED THIRD PARTIES HAVE GAINED SUCH ACCESS OR THAT ANY DATA HAS BEEN OTHERWISE COMPROMISED DURING TRANSMISSION ACROSS COMPUTER NETWORKS OR TELECOMMUNICATIONS FACILITIES, INCLUDING, BUT NOT LIMITED TO, THE INTERNET.
By visiting this Website, any visitor to this WEBsite (“you” and “user”) are accepting and consenting to the provisions set forth in this Privacy Policy. If you do not agree to this Privacy POLICY, you are instructed not to use this Website. EAGLE EYE reserves the right to change this privacy policy at any time by posting an updated version of the policy on the Website. You should visit this page periodically to review the privacy policy for changes.
This Privacy Policy does not apply to information EAGLE EYE collects offline, through email, or through other WEBsites.
During your use of this Website, EAGLE EYE may passively collect technical and usage Data from you, the User, pertaining to your computer and/or internet connection. Such Data may include the number and frequency of your visits to this Website, information regarding websites accessed immediately before and after your visit to this Website, your Internet browser type and IP address. This technical and usage Data may be collected using “cookies”, which are small text files that are stored on your computer that retain your information and preferences relative to your activities on a website, or other similar means. You can change your privacy preferences regarding the use of cookies and other technologies through your browser, including blocking all cookies; however blocking all cookies may affect your use of our Website and other websites and services online, and may prevent you from using all the features and elements of our Website and other websites and services.
EAGLE EYE may also collect and store Data voluntarily provided by you, the user, while visiting this Website. User-provided Data may include information related to the financial information services you have requested. In such instance, you will know what Data we collect through the Website, because you actively submit it to us.
Unless you also actively submit personal information, such as your name or address, passively tracked Data does not typically allow us to identify you personally.
EAGLE EYE may disclose your Data with your consent, or as required or authorized by law or regulation.
If you have any questions about this Privacy Policy please contact MATIAS MIRVOIS at [email protected].
THE WEBSITE, INCLUDING INFORMATION AND MATERIALS CONTAINED IN THE WEBSITE, TEXT, GRAPHICS, SOFTWARE, LINKS AND OTHER ITEMS ARE PROVIDED “AS IS,” “AS AVAILABLE” WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, TO THE FULLEST EXTENT PERMISSIBLE PURSUANT TO APPLICABLE LAW. WITHOUT LIMITATION, EAGLE EYE DOES NOT WARRANT THE ACCURACY, ADEQUACY, COMPLETENESS, RELIABILITY, TIMELINESS OR AVAILABILITY OF THE WEBSITE OR ANY INFORMATION ON THIS SITE, AND EXPRESSLY DISCLAIMS LIABILITY FOR ERRORS OR OMISSIONS IN THE WEBSITE. THERE IS NO WARRANTY OF MERCHANTABILITY, NO WARRANTY OF FITNESS FOR A PARTICULAR PURPOSE, NO WARRANTY OF NON-INFRINGEMENT, NO WARRANTY OF ANY KIND, IMPLIED, EXPRESS OR STATUTORY, IN CONJUNCTION WITH THE WEBSITE. ANY CONTENTS ON THIS SITE ARE SUBJECT TO CHANGE WITHOUT NOTICE. EAGLE EYE FURTHER ASSUMES NO RESPONSIBILITY FOR, AND MAKES NO WARRANTIES THAT, FUNCTIONS CONTAINED AT THIS WEBSITE WILL BE UNINTERRUPTED OR ERROR-FREE, THAT DEFECTS WILL BE CORRECTED, OR THAT THE SITE OR THE SERVER THAT MAKES IT AVAILABLE WILL BE FREE OF VIRUSES OR OTHER HARMFUL COMPONENTS. PLEASE NOTE THAT SOME JURISDICTIONS DO NOT ALLOW THE EXCLUSION OF CERTAIN WARRANTIES, SO SOME OR ALL OF THE ABOVE EXCLUSIONS MAY NOT APPLY TO YOU.”
IN NO EVENT WILL EAGLE EYE BE LIABLE FOR ANY DAMAGES, OR FOR REPAIRS OR CORRECTIONS THAT MUST BE PERFORMED, TO OR ON YOUR COMPUTER, PERSON OR OTHER PROPERTY, INCLUDING, WITHOUT LIMITATION, DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, LOSSES OR EXPENSES ARISING IN CONNECTION WITH THE WEBSITE OR USE THEREOF OR THE INABILITY BY ANY PARTY TO USE SUCH SITE, OR IN CONNECTION WITH ANY FAILURE OF PERFORMANCE, ERROR, OMISSION, INTERRUPTION, DEFECT, DELAY IN OPERATION OR TRANSMISSION, COMPUTER VIRUS OR LINE OR SYSTEM FAILURE, EVEN IF EAGLE EYE, OR REPRESENTATIVES THEREOF, ARE ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR EXPENSES.
Our name is Eagle Eye Advisors LLC. We are registered with the Securities and Exchange Commission as an investment adviser. The services offered and fees charged by an investment adviser differ from those of broker-dealers and it is important that you understand the differences. Free and simple tools are available to research investment adviser firms, broker-dealers, and their financial professionals at www.Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
What investment services and advice can you provide me? We offer investment advisory services to retail investors. The principal investment advisory services that we offer to retail investors are through separately managed accounts (“accounts”) and a pooled investment vehicle (the “fund”). We also offer financial planning services to accounts. There are no material limitations on our services. We monitor your investments on a daily basis as part of our standard service. Our investment management agreement with you gives us the authority to buy and sell investments on your behalf. Our advice is not limited to certain types of products or investments.
We do not have any requirements for you to open or maintain an account with us.
Please see the more detailed disclosure on the investment services and advice that we can provide to you in Items 4 and 7 of our Form ADV Part 2A.
Conversation Starters. Given my financial situation, should I choose an investment advisory service? Why or why not? How will you choose investments to recommend to me? What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?
What fees will I pay? You will pay us a fee based on the net assets in your account each year, which will be set forth in your investment management agreement with us. Because we charge an asset-based fee, the more assets there are in your advisory account, the more you will pay in fees, and we therefore have an incentive to encourage you to increase the assets in your account. The fund pays us a performance based fee based on the capital gains of the fund each year and, and a fee based on the net assets of the fund, each of which will be set forth in the fund’s offering documents. To the extent your account invests a portion of its assets into the fund, we will waive the asset-based fee payable by the account attributable to the assets of the account invested in the fund. Accounts will also pay other fees and costs, including research fees and expense, brokerage commissions, issue and transfer taxes, custodial fees and bank service fees, interest on margin accounts, borrowing charges on securities sold short, and any other reasonable expenses related to the purchase, sale or transmittal of assets of the account. You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
Please see the more detailed disclosure on our fees and costs in Items 5.A., B., C., and D of our Form ADV Part 2A, which is available at https://adviserinfo.sec.gov/.
Conversation Starters. Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have? When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means. The following arrangements and activities give us an incentive to make investments for you based on our own interests rather than on your needs.
• Performance-Based Compensation.We receive compensation based on the performance of the fund, which gives us an incentive to make riskier investments in the fund.
• Broker Selection. When we choose broker-dealers to execute your transactions, we consider the research, products and services that we receive from broker-dealers. This affects our duty to obtain best execution on your transactions.
• Personal Trading. We invest personally in the same (or related) securities that we recommend to you. We also buy or sell securities for you at or about the same time that we buy or sell the same securities for our own accounts. This gives us an incentive to favor our own accounts over your account.
Conversation Starters. How might your conflicts of interest affect me, and how will you address them?
Please see the more detailed disclosure on our conflicts of interest in Items 5, 6, 10, 11, 12, and 17 of our Form ADV Part 2A, which is available at https://adviserinfo.sec.gov/.
How do your financial professionals make money? We pay our financial professionals a percentage of the revenue generated by the client assets they service.
Do you or your financial professionals have legal or disciplinary history? No. Visit www.Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.
Conversation Starters. As a financial professional, do you have any disciplinary history? For what type of conduct?
You can find additional information about our investment advisory services at www.SEC.gov. You can request up to date information and a copy of our relationship summary by contacting us at (646) 853-2660.
Conversation Starters. Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?
SK 07198 0002 8706699 v1Eagle Eye Advisors, LLC is an Investment Adviser, registered with the Securities and Exchange Commission; Being registered with the SEC does not imply a certain level of skill or training. Additional information about Eagle Eye Advisors, LLC is available in our disclosure brochure and on the SEC’s website at www.adviserinfo.sec.gov.
Certain Investment Advisor Representatives (IARs) of Eagle Eye Advisors, LLC are also dually registered with Sowell Management. Those IAR’s may provide advice and receive compensation, from both Sowell Management and Eagle Eye Advisors.
This site has been designed for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced upon the site. Such offers can only be made where lawful under applicable law. Eagle Eye Advisors does not intend to provide investment advice through this site and does not represent that the securities or services discussed are suitable for any investor. Investors are not advised to rely on any information contained in the site in the process of making a fully informed investment decision. Eagle Eye Advisors, LLC and this site do not intend to render tax or legal advice. Certain portions of this website (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of and/or provide access to Eagle Eye Advisors, LLC (and those other investment and non-investment professionals) positions and/or recommendations of a specific prior date. Due to various factors, including changing market conditions, such discussions may no longer be reflective of current position(s) and/or recommendation(s).
At certain places on our website, we offer direct access or ‘links’ to other internet websites. These sites contain information that has been created, published, maintained, or otherwise posted by institutions or organizations independent of Eagle Eye Advisors, LLC. Eagle Eye Advisors, LLC does not endorse, approve, certify or control these websites and does not assume responsibility for the accuracy, completeness, or timeliness of the information located there. Visitors to theses websites should not use or rely on the information contained therein until consulting with an independent finance professional. Eagle Eye Advisors, LLC does not necessarily endorse or recommend any commercial product or service described at these websites.
THE INFORMATION ON THIS WEBSITE (THE “WEBSITE”) IS NOT AN OFFER TO SELL OR SOLICITATION OF AN OFFER TO BUY AN INTEREST IN ANY INVESTMENT FUND OR FOR THE PROVISION OF ANY INVESTMENT MANAGEMENT OR ADVISORY SERVICES. ANY SUCH OFFER OR SOLICITATION WILL BE MADE ONLY BY MEANS OF A CONFIDENTIAL PRIVATE OFFERING MEMORANDUM RELATING TO A PARTICULAR FUND OR INVESTMENT MANAGEMENT CONTRACT AND ONLY IN THOSE JURISDICTIONS WHERE PERMITTED BY LAW. EAGLE EYE ADVISORS LLL (“EAGLE EYE”) PROVIDES NO ADVICE OR RECOMMENDATIONS WITH RESPECT TO THE USE OF THIS WEBSITE, NOR DO THE CONTENTS OF THIS WEBSITE CONSTITUTE LEGAL, TAX OR ACCOUNTING ADVICE OR ADVICE REGARDING THE SUITABILITY OR PROFITABILITY OF ANY TRANSACTION OR INVESTMENT.
BY ACCESSING THIS WEBSITE, YOU SIGNIFY YOUR AGREEMENT WITH, AND UNDERSTANDING OF, THE FOLLOWING TERMS OF USE AND LEGAL INFORMATION PERTAINING TO BOTH THIS WEBSITE AND ANY MATERIAL ON IT. THIS WEBSITE IS OFFERED TO YOU CONDITIONED ON YOUR ACCEPTANCE WITHOUT MODIFICATION OF THE TERMS, CONDITIONS, AND NOTICES CONTAINED HEREIN. YOUR USE OF THIS WEBSITE CONSTITUTES YOUR AGREEMENT TO ALL SUCH TERMS, CONDITIONS AND NOTICES. EAGLE EYE RESERVES THE RIGHT TO CHANGE THE TERMS, CONDITIONS, AND NOTICES UNDER WHICH THIS WEBSITE IS OFFERED. ALL MATERIALS ON THIS WEBSITE ARE MEANT TO BE REVIEWED IN THEIR ENTIRETY, INCLUDING ANY FOOTNOTES, LEGAL DISCLAIMERS, RESTRICTIONS OR DISCLOSURES, AND ANY COPYRIGHT OR PROPRIETARY NOTICES.
THE WEBSITE IS OWNED BY EAGLE EYE. THE WEBSITE AND ANY AND ALL ACCOMPANYING SCREENS, INFORMATION, MATERIALS, USER DOCUMENTATION, USER INTERFACES, IMAGES, ARRANGEMENTS OF INFORMATION, RELATED SOFTWARE AND OTHER PROPRIETARY PROPERTY OF EAGLE EYE OR ITS LICENSORS ACCESSIBLE VIA THE WEBSITE IS AND SHALL REMAIN THE EXCLUSIVE PROPERTY OF EAGLE EYE AND ITS LICENSORS, AS THE CASE MAY BE. ALL RIGHTS TO THE WEBSITE REMAIN WITH EAGLE EYE OR ITS LICENSORS. THIS WEBSITE IS FOR YOUR PERSONAL AND NON-COMMERCIAL USE. YOU MAY NOT MODIFY, COPY, DISTRIBUTE, TRANSMIT, DISPLAY, PERFORM, REPRODUCE, PUBLISH, LICENSE, CREATE DERIVATIVE WORKS FROM, TRANSFER OR SELL ANY INFORMATION, SOFTWARE, PRODUCTS OR SERVICES OBTAINED FROM THIS WEBSITE.
THIS WEBSITE IS NOT ABSOLUTELY PROTECTED AGAINST UNAUTHORIZED THIRD PARTIES. YOU ACKNOWLEDGE THAT ANY INFORMATION PROVIDED THROUGH THE INTERNET MAY BE POTENTIALLY ACCESSED BY UNAUTHORIZED THIRD PARTIES. ALTHOUGH EAGLE EYE WILL MAKE REASONABLE EFFORTS TO PROTECT THE PRIVACY OF USERS OF THIS WEBSITE, NO GUARANTEE CAN BE MADE THAT UNAUTHORIZED THIRD PARTIES WILL NOT ACCESS THE INFORMATION CONTAINED ON THE WEBSITE. YOU ACKNOWLEDGE THAT EAGLE EYE IS NOT RESPONSIBLE FOR NOTIFYING YOU THAT UNAUTHORIZED THIRD PARTIES HAVE GAINED SUCH ACCESS OR THAT ANY DATA HAS BEEN OTHERWISE COMPROMISED DURING TRANSMISSION ACROSS COMPUTER NETWORKS OR TELECOMMUNICATIONS FACILITIES, INCLUDING, BUT NOT LIMITED TO, THE INTERNET.
By visiting this Website, any visitor to this WEBsite (“you” and “user”) are accepting and consenting to the provisions set forth in this Privacy Policy. If you do not agree to this Privacy POLICY, you are instructed not to use this Website. EAGLE EYE reserves the right to change this privacy policy at any time by posting an updated version of the policy on the Website. You should visit this page periodically to review the privacy policy for changes.
This Privacy Policy does not apply to information EAGLE EYE collects offline, through email, or through other WEBsites.
During your use of this Website, EAGLE EYE may passively collect technical and usage Data from you, the User, pertaining to your computer and/or internet connection. Such Data may include the number and frequency of your visits to this Website, information regarding websites accessed immediately before and after your visit to this Website, your Internet browser type and IP address. This technical and usage Data may be collected using “cookies”, which are small text files that are stored on your computer that retain your information and preferences relative to your activities on a website, or other similar means. You can change your privacy preferences regarding the use of cookies and other technologies through your browser, including blocking all cookies; however blocking all cookies may affect your use of our Website and other websites and services online, and may prevent you from using all the features and elements of our Website and other websites and services.
EAGLE EYE may also collect and store Data voluntarily provided by you, the user, while visiting this Website. User-provided Data may include information related to the financial information services you have requested. In such instance, you will know what Data we collect through the Website, because you actively submit it to us.
Unless you also actively submit personal information, such as your name or address, passively tracked Data does not typically allow us to identify you personally.
EAGLE EYE may disclose your Data with your consent, or as required or authorized by law or regulation.
If you have any questions about this Privacy Policy please contact MATIAS MIRVOIS at [email protected].
THE WEBSITE, INCLUDING INFORMATION AND MATERIALS CONTAINED IN THE WEBSITE, TEXT, GRAPHICS, SOFTWARE, LINKS AND OTHER ITEMS ARE PROVIDED “AS IS,” “AS AVAILABLE” WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, TO THE FULLEST EXTENT PERMISSIBLE PURSUANT TO APPLICABLE LAW. WITHOUT LIMITATION, EAGLE EYE DOES NOT WARRANT THE ACCURACY, ADEQUACY, COMPLETENESS, RELIABILITY, TIMELINESS OR AVAILABILITY OF THE WEBSITE OR ANY INFORMATION ON THIS SITE, AND EXPRESSLY DISCLAIMS LIABILITY FOR ERRORS OR OMISSIONS IN THE WEBSITE. THERE IS NO WARRANTY OF MERCHANTABILITY, NO WARRANTY OF FITNESS FOR A PARTICULAR PURPOSE, NO WARRANTY OF NON-INFRINGEMENT, NO WARRANTY OF ANY KIND, IMPLIED, EXPRESS OR STATUTORY, IN CONJUNCTION WITH THE WEBSITE. ANY CONTENTS ON THIS SITE ARE SUBJECT TO CHANGE WITHOUT NOTICE. EAGLE EYE FURTHER ASSUMES NO RESPONSIBILITY FOR, AND MAKES NO WARRANTIES THAT, FUNCTIONS CONTAINED AT THIS WEBSITE WILL BE UNINTERRUPTED OR ERROR-FREE, THAT DEFECTS WILL BE CORRECTED, OR THAT THE SITE OR THE SERVER THAT MAKES IT AVAILABLE WILL BE FREE OF VIRUSES OR OTHER HARMFUL COMPONENTS. PLEASE NOTE THAT SOME JURISDICTIONS DO NOT ALLOW THE EXCLUSION OF CERTAIN WARRANTIES, SO SOME OR ALL OF THE ABOVE EXCLUSIONS MAY NOT APPLY TO YOU.”
IN NO EVENT WILL EAGLE EYE BE LIABLE FOR ANY DAMAGES, OR FOR REPAIRS OR CORRECTIONS THAT MUST BE PERFORMED, TO OR ON YOUR COMPUTER, PERSON OR OTHER PROPERTY, INCLUDING, WITHOUT LIMITATION, DIRECT OR INDIRECT, SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, LOSSES OR EXPENSES ARISING IN CONNECTION WITH THE WEBSITE OR USE THEREOF OR THE INABILITY BY ANY PARTY TO USE SUCH SITE, OR IN CONNECTION WITH ANY FAILURE OF PERFORMANCE, ERROR, OMISSION, INTERRUPTION, DEFECT, DELAY IN OPERATION OR TRANSMISSION, COMPUTER VIRUS OR LINE OR SYSTEM FAILURE, EVEN IF EAGLE EYE, OR REPRESENTATIVES THEREOF, ARE ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES OR EXPENSES.
Sowell Management (Sowell) is registered with the Securities and Exchange Commission (SEC) as an investment adviser. Brokerage and investment advisory services and fees differ and it is important for you to understand these differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
We offer investment advisory and financial planning services to retail investors. Investment Authority: All accounts give Sowell discretionary authority. Sowell may accept, at its sole discretion, non-discretionary accounts. Monitoring: Sowell Management monitors client portfolios on a continuous and ongoing basis. Such reviews are conducted by the Firm’s investment personnel and/or investment adviser representatives. The frequency of reviews will depend upon the complexity of the accounts, the nature of the advisory recommendations, changes in tax or market conditions, as well as other conditions and material changes to the client’s situation. For additional information, please see Sowell’s Form ADV, Part 2A Brochure (Items 4 and 7).
Conversation Starter
Given my financial situation, should I choose an investment advisory service? Why or why not? How will you choose investments to recommend to me? What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?
Principal Fees and Costs: Sowell Management offers investment management services for an annual negotiated fee based on the amount of assets under the Firm’s management. This management fee generally varies up to 2.5% per annum, charged monthly in advance, depending upon the size and composition of a client’s portfolio, the type of services rendered, and the investment adviser representative providing the advice and managing the client relationship. The fact that the investment adviser representative working with the client can determine the advisory fee, may result in clients with similar circumstances paying different fees to the Firm. Financial Planning fees are offered on a fixed fee basis or on an hourly basis. Financial Plan fees will range up to $10,000 on a fixed fee basis or from $150 to $500 on an hourly basis.
Other Fees and Costs:
In addition to the advisory fees paid to Sowell Management, clients may also incur certain charges imposed by other third parties, such as broker-dealers, custodians, trust companies, banks, and other financial institutions. These additional charges may include securities brokerage commissions, transaction fees, custodial fees, fees charged by the Independent Managers, margin costs, charges imposed directly by a mutual fund or ETF in a client’s account as disclosed in the fund’s prospectus (e.g., fund management fees and other fund expenses), deferred sales charges, odd-lot differentials, transfer taxes, wire transfer and electronic fund fees, and other fees and taxes on brokerage accounts and securities transactions. Sowell charges an asset-based fee; the more assets there are in a retail investor’s account, the more a retail investor will pay in fees, and the firm will therefore have an incentive to encourage the retail investor to increase the assets in his or her account.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. For additional information, please refer to Sowell’s Form ADV, Part 2A brochure Items 4, 5, and 7.
Conversation Starter
Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have?
When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means: When we recommend an advisory account, a rollover of a retirement plan account, refer a client to a third-party asset manager, or provide additional services for compensation, these recommendations create, in and of themselves, an incentive to make these recommendations based upon the amount of compensation we receive, rather than based upon your needs.
Conversation Starter
How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money?
Sowell’s financial professionals are compensated by cash compensation from the advisory and financial planning fees that we charge you. Our fee for services may vary depending on such factors as the amount of client assets we service and the time and complexity required to meet your needs. Clients are advised that a conflict of interest exists when our financial professionals recommend our services to you, in that we will earn a fee from the services provided to you and the financial professional will be directly compensated from those fees.
Do you or your financial Professionals have legal or Disciplinary history? Yes
Sowell does not have any legal, financial, or disciplinary items to report. However, some of our financial professionals do have a disciplinary history.
Conversation Starter
As a financial professional, do you have any disciplinary history? For what type of conduct?
Search Tool
Please visit investor.gov/CRS a free tool to research Sowell and our financial professionals.
For additional information about our services, please refer to Sowell’s Form ADV, Part 2A brochure Item 4 and Item 7. If you would like additional, up-to-date information or a copy of this disclosure, you may contact your finance professional, or you may call (501) 219-2434 and request the Compliance Department.
Conversation Starter
Who is my primary contact person? Is he or she a representative of an investment-adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?