Prospect Financial Services LLC
Firm details
- Headquarters
- Melville, New York
- CRD number
- 314154
- Registered since
- August 30, 2021
- Website
- www.profinserv.net
- Custodians
- LPL FINANCIAL LLC
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI48.67%
- Individuals27.88%
- Pension & Profit Sharing Plans22.92%
- Corporations / Businesses0.52%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Prospect Financial Services LLC is an independent, LLC-structured registered investment adviser that began SEC registration in 2021 and is owned by an individual. The firm serves both individual/family and institutional clients and acts as a capital allocator, combining fee models that include a percentage of assets under management and fixed fees. Its core advisory offerings include financial planning, portfolio management for individuals and small businesses, pension consulting services, and selection of third‑party advisers. Prospect reports that it is not an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
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 Equities35%
- Investment Grade Corp Bonds25%
- US Government Bonds15%
- State & Local Bonds10%
- Public Funds/Mutual Funds7%
Contacts
3 of 11
Aidan Rooney
Financial AdvisorCRD 8186594
Neal O Sullivan
Wealth AdvisorCRD 1891959
Wange Liu
Financial AdvisorCRD 7316117
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 66Active vs passive
$115M in ETFs
83%
$94.6M
4%
$19.9M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD LONG-TERM CORPORATE BOND INDEX FUND (VCLT) | Vanguard | Passive | Long Term Bond | $11.3M | 150,149 | 9.86% |
Location
Melville, NY
Suffolk
Location
Melville, NY
Headquartered in Melville, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Suffolk
- Address
- 445 Broadhollow Rd
- Time zone
- ET (UTC-5)
- Office locations
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