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PROTA FINANCIAL
Legal name: PROTA FINANCIAL, LLC
CRD 283776File 801-125895
APPROVED
Retail clients
Filing as of Feb 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$270.4M
Below cohort median (national)
Discretionary AUM
$270.4M
Clients
673
1,808 accounts
Employees
13
Below cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jun 16, 2022
- Principal office
- 1980 POST OAK BLVD, SUITE 200, HOUSTON, TX, 77056-3845
- Phone
- 713-568-8171
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $270.4M
- Discretionary AUM
- $270.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,808
- Non-discretionary accounts
- 0
- Total accounts
- 1,808
- AUM per client
- $402K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $390K |
| High net worth individuals | 85 | $148.8M |
| Individuals (other than high net worth individuals) | 588 | $121.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- 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 | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 628 | 673 | increased by45 |
| Mar 1, 2026 | AUM | $233,673,316 | $270,372,201 | increased by$36,698,885 |
| Mar 1, 2026 | Accounts | 1,643 | 1,808 | increased by165 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 12 | 13 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 12 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 343 | 628 | increased by285 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $114,168,331 | $233,673,316 | increased by$119,504,985 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 862 | 1,643 | increased by781 |
| Jul 1, 2022 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROTA FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROTA 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.