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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PRISM FUNDS, LLC

CRD 147911

NEWTOWN, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0074b04c-bde2-57cf-add4-e1c8b3f7586a

Data as of Mar 5, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to Mar 5, 2020
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $26.7MItem 5.F on the latest filing (2020-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $26.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $26.7Mgross asset value as reported per fund; never fund size
Custody, client assets: $26.7M
SEC number: 801-69533
CRD: 147911
Filings on the tape: 11
First filed: Mar 14, 2012
Latest filed: Mar 5, 2020
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PRISM AMBER FUND LP	Hedge Fund	$18.5M	Mar 28, 2019	37	Mar 14, 2012	reported	021-165458

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PRISM ADVISORY GROUP, LLC	Member	D	yes	01/2011	Mar 14, 2012	Mar 5, 2020
SAVINO, ROBERT, JOSEPH	Member	D	yes	01/2010	Mar 14, 2012	Mar 5, 2020
SIMKUS, RICHARD, VICTOR	MANAGING MEMBER	D	yes	11/2004	Mar 14, 2012	Mar 5, 2020
SIMKUS, RICHARD, VICTOR	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	08/2008	Mar 14, 2012	Mar 5, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PRISM ADVISORY GROUP, LLC	n/a	Former SEC adviser	$184M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 5, 2020	$26.7M	$26.7M	1	1	0	1	$26.7M
2018	Mar 28, 2019	$34.8M	$34.8M	1	1	1	2	$34.8M
2017	Mar 10, 2018	$41.9M	$41.9M	1	1	1	2	$41.9M
2016	Mar 27, 2017	$45.3M	$45.3M	1	1	n/a	2	$45.3M
2015	Mar 29, 2016	$48.4M	$48.4M	1	1	n/a	2	$48.4M
2014	Feb 6, 2015	$54.7M	$54.7M	1	1	n/a	2	$54.7M
2013	Mar 31, 2014	$49.8M	$49.8M	1	1	n/a	2	$49.8M
2012	Mar 27, 2013	$46.9M	$46.9M	1	1	n/a	2	$49.5M
2011	Mar 14, 2012	$46.3M	$46.3M	n/a	n/a	n/a	2	$47.3M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$26.7M	$34.8M	-23.3%	$45.3M	-16.2%	1	1	0	1

Relationships

Affiliated with (1)

→ PRISM ADVISORY GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← SIMKUS, RICHARD, VICTOROwnerMANAGING MEMBER, ownership code D, individual
Mar 14, 2012 to presentfactForm ADV
← SAVINO, ROBERT, JOSEPHOwnerMEMBER, ownership code D, individual
Mar 14, 2012 to presentfactForm ADV
← PRISM ADVISORY GROUP, LLCOwnerMEMBER, ownership code D, domestic entity
Mar 14, 2012 to presentfactForm ADV

Advises (1)

→ PRISM AMBER FUND LPPrivate fundHedge Fund, IA
Mar 14, 2012 to presentfactForm ADV

Registered with (1)

← RICHARD VICTOR SIMKUSAdvisorregistration: previous registration
Jul 7, 2010 to Mar 3, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0074b04c-bde2-57cf-add4-e1c8b3f7586a
First observed: Mar 14, 2012
Last observed: Mar 5, 2020 79 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PRISM FUNDS, LLC

CRD 147911

NEWTOWN, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0074b04c-bde2-57cf-add4-e1c8b3f7586a

Data as of Mar 5, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PRISM AMBER FUND LP

Hedge Fund

$18.5M

Mar 28, 2019

Mar 14, 2012

reported

021-165458

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PRISM ADVISORY GROUP, LLC

Member

yes

01/2011

Mar 14, 2012

Mar 5, 2020

SAVINO, ROBERT, JOSEPH

Member

yes

01/2010

Mar 14, 2012

Mar 5, 2020

SIMKUS, RICHARD, VICTOR

MANAGING MEMBER

yes

11/2004

Mar 14, 2012

Mar 5, 2020

SIMKUS, RICHARD, VICTOR

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

08/2008

Mar 14, 2012

Mar 5, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PRISM ADVISORY GROUP, LLC

n/a

Former SEC adviser

$184M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 5, 2020

$26.7M

2018

Mar 28, 2019

$34.8M

2017

Mar 10, 2018

$41.9M

2016

Mar 27, 2017

$45.3M

n/a

$45.3M

2015

Mar 29, 2016

$48.4M

n/a

$48.4M

2014

Feb 6, 2015

$54.7M

n/a

$54.7M

2013

Mar 31, 2014

$49.8M

n/a

$49.8M

2012

Mar 27, 2013

$46.9M

n/a

$49.5M

2011

Mar 14, 2012

$46.3M

n/a

$47.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$26.7M

$34.8M

-23.3%

$45.3M

-16.2%