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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

PRESCOTT TAX AND WEALTH MANAGEMENT

PRESCOTT MANAGEMENT, INC., CRD 331654

SAN JUAN CAPISTRANO, CA

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:078166f0-5236-de64-8451-47e0d1263e08

Data as of Jun 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 27, 2024 to Jun 28, 2024
2 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: $0Item 5.F on the latest filing (2024-06-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-130803
CRD: 331654
Filings on the tape: 2
First filed: Jun 27, 2024
Latest filed: Jun 28, 2024
Organised: Corporation, California

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
PRESCOTT, GRANT, DOUGLAS	CHIEF COMPLIANCE OFFICER AND DIRECTOR OF FINANCIAL PLANNING AND INVESTMENTS	Na	yes	11/2021	Jun 27, 2024	Jun 28, 2024
PRESCOTT, PETER, DOUGLAS	MANAGING MEMBER	E	yes	11/2021	Jun 27, 2024	Jun 28, 2024

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
PRESCOTT INSURANCE SOLUTIONS, INC. THIS	n/a	n/a	n/a	N	yes	n/a

Relationships

Controls (2)

← PRESCOTT, PETER, DOUGLASOwnerMANAGING MEMBER, ownership code E, individual
Jun 27, 2024 to presentfactForm ADV
← PRESCOTT, GRANT, DOUGLASOwnerCHIEF COMPLIANCE OFFICER AND DIRECTOR OF FINANCIAL PLANNING AND INVESTMENTS, ownership code NA, individual
Jun 27, 2024 to presentfactForm ADV

Dated events

Occurred
Jun 27, 2024
First Form ADV filing
Prescott Tax & Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:078166f0-5236-de64-8451-47e0d1263e08
First observed: Jun 27, 2024
Last observed: Jun 28, 2024 27 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.

PRESCOTT TAX AND WEALTH MANAGEMENT

PRESCOTT MANAGEMENT, INC., CRD 331654

SAN JUAN CAPISTRANO, CA

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:078166f0-5236-de64-8451-47e0d1263e08

Data as of Jun 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PRESCOTT, GRANT, DOUGLAS

CHIEF COMPLIANCE OFFICER AND DIRECTOR OF FINANCIAL PLANNING AND INVESTMENTS

yes

11/2021

Jun 27, 2024

Jun 28, 2024

PRESCOTT, PETER, DOUGLAS

MANAGING MEMBER

yes

11/2021

Jun 27, 2024

Jun 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PRESCOTT INSURANCE SOLUTIONS, INC. THIS

n/a

yes

n/a