Prospect Financial Group LLC
Firm details
- Headquarters
- ,
- CRD number
- 133953
- Registered since
- April 18, 2022
- Website
- prospect-group.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI98.58%
- Individuals1.42%
- Services
- Financial PlanningPortfolio Management for IndividualsPension Consulting
Firm profile
FINTRXOverview
Prospect Financial Group LLC is an independent registered investment adviser organized as an LLC and registered with the SEC in 2022. The firm serves individual and family clients and offers a mix of financial planning and discretionary portfolio management, including services for small businesses and pension consulting. Its owner structure is individual, and it bills using a combination of percentage-of-AUM fees plus hourly and fixed-fee arrangements. Prospect reports it is not an active ESG investor and does not position itself as a capital allocator to external managers.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities71%
- Public Funds/Mutual Funds26%
- Non-Exchange Traded Equities1%
- Private Funds1%
- Cash & Cash Equivalents1%
Contacts
1 of 1
Gillian Curran
PresidentCRD 4902408
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 35Active vs passive
$91.6M in ETFs
45%
$40.7M
54%
$50.8M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| DIMENSIONAL EMERGING MARKETS CORE EQUITY 2 ETF (DFEM) | Dimensional | Active | Diversified Emerging Mkts | $10.9M | 315,864 | 11.92% |
Location
, null
Location
, null
Headquartered in , null.
- Office locations
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