P
$431.0M Total AUM
$431.0M Disc. AUM
20.2% 3Y CAGR
12 Employees
613 ADV. Clients
5 yrs Firm Age
This is a profile preview from the AdvizorPro Platform.
Request a Free TrialFirm Details
- Custodian
- Charles Schwab & Company ยท LPL Financial
- Clients
- Retail and Institutional
- Platforms
- --
- Established Date
- 07-01-2021
- Office Locations
- 3
Office Locations
445 Broad Hollow Road Suite CL-43 Melville NY
-- Farmingdale NY
-- Raleigh NC
About Prospect Financial Services LLC
Prospect Financial Services LLC is a Melville-based RIA with 3 offices. The firm has been operating for 5 years. Managing $431.0M in total assets under management, with 9 advisory representatives. They custody assets with Charles Schwab & Company and LPL Financial.
Team overview
54 AVG AGE
$47.9M AVG AUM / ADVISOR
$703.1K AVG AUM / CLIENT
3.6 yrs AVG TENURE
12 Employees
9 Advisory Reps
9 RIA Reps
5yrs Firm Age
Insights
Available
Available
Available
Available
Available
Available
Available
Available
Asset Classes
Available
Client Personas
Available
Investment Themes
Available
Investment Vehicles
Available
Services
Available
Owner & Executives
S
SEAN PETER ROONEY
Chief Compliance Officer, Managing Partner
- CRD
- #2635431
- Ownership
- 50% but less than 75%
Available
Available
Available
J
JAY L NATHAN
PARTNER, Vice President
- CRD
- #4899753
- Ownership
- 25% but less than 50%
Available
Available
Available
Showing 2 of 4 owners & executives
Unlock allContacts
D
DAVID FRANK GERKEN
--
- CRD
- #2452301
Available
Available
Available
MICHAEL ALLAN GOLDFEDER
--
- CRD
- #2542820
Available
Available
Available
Showing 2 of 11 contacts
Unlock allAssets Under Management
Total AUM
Discretionary
Non-Discretionary
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $430,992,588 | $372,831 |
| Non-Discretionary | $0 | -- |
| Total | $430,992,588 | $372,831 |
Want deeper insight
into 45,000+ RIAs?
What you're seeing here is just the starting point.
Separately Managed Accounts
Total SMA Asset: Available
Equity - Exchange:
Available Corporate - Investment Grade:
Available U.S. Government/Agency:
Available Municipal Bonds:
Available Public Funds:
Available Cash:
Available Corporate - Non-Investment Grade:
Available Other:
Available | Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| Corporate - Investment Grade | Available | Available |
| U.S. Government/Agency | Available | Available |
| Municipal Bonds | Available | Available |
| Public Funds | Available | Available |
| Cash | Available | Available |
| Corporate - Non-Investment Grade | Available | Available |
| Other | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
Continue browsing