Prism Financial Group, LLC

Overview

Prism Financial Group, LLC is an independent registered investment adviser that focuses on fee-based portfolio management for individuals and small businesses. The firm operates as a registered representative of a broker-dealer, which suggests advisers have access to brokerage platforms and third-party products alongside their advisory relationships. Prism is not an active ESG investor, is not positioned as a pension consultant or multi-state adviser, and is run under individual ownership. Its advisory model is primarily percentage-of-AUM fee based and the firm’s activity appears oriented toward client-directed, non-discretionary relationships. Investment activity centers on pooled public funds: mutual funds and similar public vehicles form the backbone of client portfolios. The firm’s classification as an independent RIA combined with its broker-dealer affiliation indicates a hybrid operating posture where advisers may recommend both advisory-sleeved mutual funds and available brokerage offerings depending on client preference and account type.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices