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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$42.5MItem 5.F on the latest filing (2021-03-29); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$42.5M

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

96

Advisory employees

48

Offices

2Schedule D 1.F, beyond the principal office

Accounts

1

Individual clients

0

High net worth clients

0

SEC number

801-114046

CRD

298630

Filings on the tape

5

First filed

Aug 27, 2018

Latest filed

Mar 29, 2021

Organised

Limited Liability Company, Delaware

• Occurred

  Aug 27, 2018
  First Form ADV filing

  Prospect Flexible Income Management, Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2bbf5c03-2d45-edbb-06af-5f42cc0b5468

First observed

Aug 27, 2018

Last observed

Mar 29, 2021 66 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.