RIA Intel›Advisers›New York›PROSPECT FINANCIAL SERVICES LLC

PROSPECT FINANCIAL SERVICES LLC

Advisory

N·MELVILLE, NY

Data as of Mar 9, 2026 · Source: SEC Form ADV

Total AUM
$431M
1-Year AUM Growth
+31.5%
3-Year CAGR
+8.4%
Employees
9
Assets Under Management
Total AUM$431M
Discretionary AUM$431M
Non-Discretionary AUM$0
Discretionary %100%
Total Clients563
Team
Total Employees9
Investment Advisers12
Employee Growth (1Y)—
Filing History
Total Filings on Record8
First FilingJul 29, 2021
Latest FilingMar 9, 2026
🔒 Full AUM trend chart and 8 historical filings spanning 5+ years
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Registration
Status—
Registration Date—
SEC RegisteredYes
Exempt ReportingNo
⚡ Succession Risk Score

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📊 Peer Benchmarking

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👥 Owners & Officers

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🏦 Client Demographics

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