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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

PROWELL FINANCIAL MANAGEMENT, LLC

CRD 281762

EXTON, PA

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Search this name across graphsid dfx:ria:454e8877-e587-a413-5232-b8e36059bf1c

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Aug 15, 2016 to Mar 24, 2026
17 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.9BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $6.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $2.3Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 404
Individual clients: 23
High net worth clients: 34
Custody, client assets: $104M
SEC number: 801-108292
CRD: 281762
Filings on the tape: 17
First filed: Aug 15, 2016
Latest filed: Mar 24, 2026
Organised: Limited Liability Company, PA
Website: prowell-financial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MARK EDWARD PROWELL	n/a	EXTON, PA	10	38	2	no
Courtney Lynn Kauffman	Certified Financial Planner	EXTON, PA	4	11	n/a	no
SARAH COOK LYNCH	n/a	EXTON, PA	2	15	n/a	no

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
PROWELL, MARK, EDWARD	MANAGING MEMBER	E	yes	11/2015	Mar 24, 2026	Mar 24, 2026
Kauffman, Courtney, Lynn	MANAGING DIRECTOR/CCO	B	no	07/2023	Mar 24, 2026	Mar 24, 2026
LYNCH, SARAH, COOK	VP OF OPERATIONS	A	no	07/2023	Mar 24, 2026	Mar 24, 2026

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
2025	Mar 24, 2026	$6.9B	$1.3B	4	3	1	n/a	n/a
2024	Feb 25, 2025	$8.1B	$1.3B	4	3	1	n/a	n/a
2023	Mar 25, 2024	$8.3B	$1.0B	4	2	0	n/a	n/a
2022	Mar 14, 2023	$6.4B	$946M	4	1	0	n/a	n/a
2021	Mar 25, 2022	$1.1B	$1.1B	3	1	0	n/a	n/a
2020	Mar 29, 2021	$686M	$686M	3	1	0	n/a	n/a
2019	Mar 30, 2020	$261M	$261M	3	2	0	n/a	n/a
2018	Mar 27, 2019	$233M	$233M	3	2	0	n/a	n/a
2017	Mar 28, 2018	$176M	$176M	4	2	0	n/a	n/a
2016	Mar 13, 2017	$134M	$134M	4	2	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$6.9B	$8.1B	-15.2%	$6.4B	2.3%	4	4	1	1

Relationships

Registered with (3)

← SARAH COOK LYNCHAdvisorregistration: current employment
Mar 6, 2024 to presentfactForm ADV
← Courtney Lynn KauffmanAdvisorregistration: current employment
Nov 17, 2021 to presentfactForm ADV
← MARK EDWARD PROWELLAdvisorregistration: current employment
Feb 12, 2016 to presentfactForm ADV

Controls (1)

← PROWELL, MARK, EDWARDOwnerMANAGING MEMBER/CCO, ownership code E, individual
Aug 15, 2016 to Mar 25, 2024factForm ADV

Owns (2)

← Kauffman, Courtney, LynnOwnerMANAGING DIRECTOR, ownership code B, individual
Jul 24, 2023 to Mar 25, 2024factForm ADV
← LYNCH, SARAH, COOKOwnerVP OF OPERATIONS, ownership code A, individual
Jul 24, 2023 to Mar 25, 2024factForm ADV

Dated events

Occurred
Mar 25, 2024
Regulatory AUM changed
Prowell Financial Management, Llc reported RAUM $8.3B, up 30% from $6.4B (2023-07-25 to 2024-03-25)
Form ADVobserved 4 days ago
$1.9B
Occurred
Mar 14, 2023
Regulatory AUM changed
Prowell Financial Management, Llc reported RAUM $6.4B, up 481% from $1.1B (2022-03-25 to 2023-03-14)
Form ADVobserved 4 days ago
$5.3B
Occurred
Mar 25, 2022
Regulatory AUM changed
Prowell Financial Management, Llc reported RAUM $1.1B, up 61% from $686.3M (2021-03-29 to 2022-03-25)
Form ADVobserved 4 days ago
$417M
Occurred
Mar 29, 2021
Regulatory AUM changed
Prowell Financial Management, Llc reported RAUM $686.3M, up 163% from $260.7M (2020-06-30 to 2021-03-29)
Form ADVobserved 4 days ago
$426M
Occurred
Aug 15, 2016
First Form ADV filing
Prowell Financial Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:454e8877-e587-a413-5232-b8e36059bf1c
First observed: Aug 15, 2016
Last observed: Mar 24, 2026 5 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.

PROWELL FINANCIAL MANAGEMENT, LLC

CRD 281762

EXTON, 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:454e8877-e587-a413-5232-b8e36059bf1c

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK EDWARD PROWELL

n/a

EXTON, PA

Courtney Lynn Kauffman

Certified Financial Planner

EXTON, PA

n/a

SARAH COOK LYNCH

n/a

EXTON, PA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PROWELL, MARK, EDWARD

MANAGING MEMBER

yes

11/2015

Mar 24, 2026

Kauffman, Courtney, Lynn

MANAGING DIRECTOR/CCO

07/2023

Mar 24, 2026

LYNCH, SARAH, COOK

VP OF OPERATIONS

07/2023

Mar 24, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$6.9B

$1.3B

n/a

2024

Feb 25, 2025

$8.1B

$1.3B

n/a

2023

Mar 25, 2024

$8.3B

$1.0B

n/a

2022

Mar 14, 2023

$6.4B

$946M

n/a

2021

Mar 25, 2022

$1.1B

n/a

2020

Mar 29, 2021

$686M

n/a

2019

Mar 30, 2020

$261M

n/a

2018

Mar 27, 2019

$233M

n/a

2017

Mar 28, 2018

$176M

n/a

2016

Mar 13, 2017

$134M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$6.9B

$8.1B

-15.2%

$6.4B

2.3%