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PROSPECT FINANCIAL GROUP LLC
CRD 133953File 801-123732
APPROVED
Retail clients
Custody
Filing as of Jul 14, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$204.4M
Below cohort median (national)
Discretionary AUM
$204.4M
Clients
48
326 accounts
Employees
2
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Apr 18, 2022
- Principal office
- Not reported
- Phone
- (703) 852-9673
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $204.4M
- Discretionary AUM
- $204.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 326
- Non-discretionary accounts
- 0
- Total accounts
- 326
- AUM per client
- $4.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 39 | $201.5M |
| Individuals (other than high net worth individuals) | 9 | $2.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.