Prospect Financial Services LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Melville, NY. Its latest Form ADV filing, dated March 9, 2026, reports $431M in regulatory assets under management, 12 employees, and 1,156 accounts.
Assets Under Management
$431M
Employees
12
Offices
--
Total Clients
613
Primary office
MELVILLE, NY
445 BROAD HOLLOW ROAD, SUITE CL-43, MELVILLE, NY, United States
Portfolio management for individuals and small businesses
Fee models offered
2 types reported
Asset based fees
Fixed fees
Sources checked May 17, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 72.8% of total clients.
Top client categories% of clientsClients
1
Individuals
72.8%
446
2
Pension Plans
12.6%
77
3
HNWI
12.1%
74
4
Corporations
2.6%
16
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$431Mas of March 9, 2026
Discretionary100.0%
$431M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$431M
Total Accounts1,156
10Y AUM Change+$431M
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees12
Clients per Employee51:1
10Y Employee Change+3 (+33.3%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.