PROSPECT FINANCIAL SERVICES LLC

CRD 314154File 801-122193

APPROVED

Retail clients

Filing as of Mar 9, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$431.0M

Below cohort median (national)

Discretionary AUM

$431.0M

Clients

613

1,156 accounts

Employees

Below cohort median in NY

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: NYRO
Registration date: Aug 30, 2021
Principal office: 445 BROAD HOLLOW ROAD, SUITE CL-43, MELVILLE, NY, 11747
Phone: 631-424-5218
Website: https://www.profinserv.net/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $431.0M
Discretionary AUM: $431.0M
Non-discretionary AUM: $0
Discretionary accounts: 1,156
Non-discretionary accounts: 0
Total accounts: 1,156
AUM per client: $703K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	16	$2.3M
High net worth individuals	74	$209.8M
Pension and profit sharing plans	77	$98.8M
Individuals (other than high net worth individuals)	446	$120.2M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
A percentage of assets under your management

Advisory activities

Financial planning services
Selection of other advisers
Portfolio management for other
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 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Clients	643	613	decreased by30
Apr 1, 2026	AUM	$418,143,884	$430,992,588	increased by$12,848,704
Apr 1, 2026	Accounts	1,178	1,156	decreased by22
May 1, 2025 vs Oct 1, 2022	Employees	9	12	increased by3
May 1, 2025 vs Oct 1, 2022	Clients	524	643	increased by119
May 1, 2025 vs Oct 1, 2022	AUM	$226,281,999	$418,143,884	increased by$191,861,885
May 1, 2025 vs Oct 1, 2022	Accounts	428	1,178	increased by750
Apr 1, 2022	Employees	59	9	decreased by50
Apr 1, 2022	Clients	796	524	decreased by272
Apr 1, 2022	AUM	$280,447,501	$226,281,999	decreased by$54,165,502
Apr 1, 2022	Accounts	2,128	428	decreased by1,700
Feb 1, 2022	Registration	APPROVED-120	APPROVED
Jan 1, 2022	Employees	9	59	increased by50
Jan 1, 2022	AUM	$0	$280,447,501	increased by$280,447,501
Jan 1, 2022	Accounts	0	2,128	increased by2,128

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “PROSPECT FINANCIAL” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROSPECT 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.