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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WESTFIELD FINANCIAL PLANNING

PROSPECT CAPITAL SERVICES, INC., CRD 290102

WESTFIELD, NJ

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:4edbde2c-e6c0-99f4-f983-011c3b7458ef

Data as of May 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Sep 20, 2017 to May 29, 2024
35 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: $191MItem 5.F on the latest filing (2024-05-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $179M
Private client RAUM: $183MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 699
Individual clients: 98
High net worth clients: 56
SEC number: 801-111888
CRD: 290102
Filings on the tape: 35
First filed: Sep 20, 2017
Latest filed: May 29, 2024
Organised: Corporation, New Jersey

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
MCCOURT, MARY CAYE	Owner	C	yes	11/2017	Sep 20, 2017	May 29, 2024
SWINGLE, MARK, FREDERICK	PRINCIPAL & CHIEF COMPLIANCE OFFICER	D	yes	12/2018	Nov 16, 2017	May 29, 2024
SONG, DANIEL, M.	Partner	A	no	01/2022	Mar 28, 2022	May 29, 2024

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	Private funds	Fund GAV
2023	May 29, 2024	$191M	$179M	5	2	n/a	n/a
2022	Mar 13, 2023	$168M	$168M	6	3	n/a	n/a
2021	Mar 28, 2022	$189M	$188M	6	3	n/a	n/a
2020	Mar 24, 2021	$155M	$155M	6	3	n/a	n/a
2019	Mar 23, 2020	$123M	$123M	6	3	n/a	n/a
2018	Feb 19, 2019	$105M	$103M	6	2	n/a	n/a
2017	Mar 19, 2018	$108M	$108M	5	2	n/a	n/a

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
2023	$191M	$168M	13.4%	$155M	7.1%	5	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERIT FINANCIAL ADVISORS	2	Aug 13, 2024	Jul 29, 2024	WESTFIELD, NJ	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← SWINGLE, MARK, FREDERICKOwnerPRINCIPAL & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 16, 2017 to presentfactForm ADV
← MCCOURT, MARY CAYEOwnerOWNER, ownership code C, individual
Sep 20, 2017 to presentfactForm ADV

Owns (1)

← SONG, DANIEL, M.OwnerPARTNER, ownership code A, individual
Mar 28, 2022 to presentfactForm ADV

Registered with (3)

← MARK FREDERICK SWINGLEAdvisorregistration: previous registration
Nov 21, 2017 to Aug 13, 2024factForm ADV
← DANIEL M. SONGAdvisorregistration: previous registration
Sep 11, 2018 to Aug 13, 2024factForm ADV
← TIMOTHY HUYNHAdvisorregistration: previous registration
May 28, 2019 to Mar 31, 2024factForm ADV

Moved with (1)

→ MERIT FINANCIAL ADVISORSRegistered adviser2 advisors, team lift out, same day
Aug 13, 2024 to Jul 29, 2024factForm ADV

Dated events

Occurred
Aug 13, 2024
Team lift-out
2 advisors left Westfield Financial Planning (Westfield, NJ) for Merit Financial Advisors on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Aug 13, 2024
Advisor changed firm
Mark Frederick Swingle left Westfield Financial Planning for Merit Financial Advisors (registered 2024-07-29)
Form ADVobserved 6 days ago
Occurred
Aug 13, 2024
Advisor changed firm
Daniel M. Song left Westfield Financial Planning for Merit Financial Advisors (registered 2024-07-29)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2024
Advisor changed firm
Timothy Huynh left Westfield Financial Planning for Firebrand Wealth Management, Llc (registered 2024-06-17)
Form ADVobserved 6 days ago
Occurred
Feb 19, 2019
Control person left
John Gerald Ricciardo (Chief Compliance Officer) no longer on Schedule A of Westfield Financial Planning (listed 2018-12-20, absent 2019-02-19)
Form ADVobserved 6 days ago
Occurred
Sep 20, 2017
First Form ADV filing
Prospect Capital Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4edbde2c-e6c0-99f4-f983-011c3b7458ef
First observed: Sep 20, 2017
Last observed: May 29, 2024 28 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.

WESTFIELD FINANCIAL PLANNING

PROSPECT CAPITAL SERVICES, INC., CRD 290102

WESTFIELD, NJ

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:4edbde2c-e6c0-99f4-f983-011c3b7458ef

Data as of May 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:34 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCOURT, MARY CAYE

Owner

yes

11/2017

Sep 20, 2017

May 29, 2024

SWINGLE, MARK, FREDERICK

PRINCIPAL & CHIEF COMPLIANCE OFFICER

yes

12/2018

Nov 16, 2017

May 29, 2024

SONG, DANIEL, M.

Partner

01/2022

Mar 28, 2022

May 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

May 29, 2024

$191M

$179M

n/a

2022

Mar 13, 2023

$168M

n/a

2021

Mar 28, 2022

$189M

$188M

n/a

2020

Mar 24, 2021

$155M

n/a

2019

Mar 23, 2020

$123M

n/a

2018

Feb 19, 2019

$105M

$103M

n/a

2017

Mar 19, 2018

$108M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$191M

$168M

13.4%

$155M

7.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERIT FINANCIAL ADVISORS

Aug 13, 2024

Jul 29, 2024

WESTFIELD, NJ

Team lift out

RIA to RIA

100.0%