RIA Intel›Advisers›PROSPECT FINANCIAL GROUP LLC

PROSPECT FINANCIAL GROUP LLC

Advisory

N·

Data as of Jan 12, 2026 · Source: SEC Form ADV

Total AUM

$176M

1-Year AUM Growth

+13.1%

3-Year CAGR

0.0%

Employees

1

Assets Under Management

Total AUM$176M

Discretionary AUM$176M

Non-Discretionary AUM$0

Discretionary %100%

Total Clients40

Team

Total Employees1

Investment Advisers1

Employee Growth (1Y)—

Filing History

Total Filings on Record4

First FilingMar 17, 2022

Latest FilingJan 12, 2026

🔒 Full AUM trend chart and 4 historical filings spanning 4+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on PROSPECT FINANCIAL GROUP LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.