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PROWELL FINANCIAL MANAGEMENT, LLC
CRD 281762File 801-108292
APPROVED
Retail clients
Custody
Filing as of Sep 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$6.86B
Top 25% of cohort (national)
Discretionary AUM
$1.30B
Non-discretionary $5.56B
Clients
74
404 accounts
Employees
4
Top 25% of cohort in PA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Aug 22, 2016
- Principal office
- 717 CONSTITUTION DRIVE, SUITE 102, EXTON, PA, 19341
- Phone
- 484-359-4057
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $6.86B
- Discretionary AUM
- $1.30B
- Non-discretionary AUM
- $5.56B
- Discretionary accounts
- 319
- Non-discretionary accounts
- 85
- Total accounts
- 404
- AUM per client
- $92.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 9 | $22.3M |
| Charitable organizations | 8 | $165.8M |
| High net worth individuals | 34 | $6.63B |
| Individuals (other than high net worth individuals) | 23 | $44.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 60 | 74 | increased by14 |
| Apr 1, 2026 | AUM | $8,094,993,369 | $6,863,569,821 | decreased by$1,231,423,548 |
| Apr 1, 2026 | Accounts | 367 | 404 | increased by37 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3 | 4 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 82 | 60 | decreased by22 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,102,840,949 | $8,094,993,369 | increased by$6,992,152,420 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 234 | 367 | increased by133 |
| Apr 1, 2022 | Clients | 128 | 82 | decreased by46 |
| Apr 1, 2022 | AUM | $686,326,980 | $1,102,840,949 | increased by$416,513,969 |
| Apr 1, 2022 | Accounts | 194 | 234 | increased by40 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROWELL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROWELL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
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.