DFX Intelligence

Data Factory

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

PROSPER ADVISORS LLC

CRD 119183

ARMONK, NY

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:5994bdc7-1ab6-48fe-1660-4ed606eabfae

Data as of Sep 23, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Sep 23, 2013
6 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: $306MItem 5.F on the latest filing (2013-09-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $305M
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: 5
Advisory employees: 4
Accounts: 543
Custody, client assets: $10.4M
SEC number: 801-64486
CRD: 119183
Filings on the tape: 6
First filed: Mar 28, 2012
Latest filed: Sep 23, 2013
Organised: Limited Liability Company, New York

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
LEE, NADINE, GORDON	Member	E	yes	01/2002	Mar 28, 2012	Sep 23, 2013
WUND, JEFF, STEPHEN	CHIEF COMPLIANCE OFFICER	Na	yes	01/2005	Mar 28, 2012	Sep 23, 2013
LEE, JASON, GORDON ENG	Member	A	no	05/2013	Sep 12, 2013	Sep 23, 2013
LEE, JONATHAN, EDWARD	Member	A	no	05/2013	Sep 12, 2013	Sep 23, 2013

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
NADINE GORDON LEE CPA, PLLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

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
2012	Mar 25, 2013	$284M	$284M	5	4	n/a	n/a	n/a
2011	Mar 28, 2012	$246M	$243M	n/a	n/a	n/a	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
2012	$306M	$246M	24.3%	n/a	n/a	5	n/a	n/a	n/a

Relationships

Controls (2)

← LEE, NADINE, GORDONOwnerMEMBER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← WUND, JEFF, STEPHENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← LEE, JONATHAN, EDWARDOwnerMEMBER, ownership code A, individual
Sep 12, 2013 to presentfactForm ADV
← LEE, JASON, GORDON ENGOwnerMEMBER, ownership code A, individual
Sep 12, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5994bdc7-1ab6-48fe-1660-4ed606eabfae
First observed: Mar 28, 2012
Last observed: Sep 23, 2013 158 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.

PROSPER ADVISORS LLC

CRD 119183

ARMONK, NY

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:5994bdc7-1ab6-48fe-1660-4ed606eabfae

Data as of Sep 23, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEE, NADINE, GORDON

Member

yes

01/2002

Mar 28, 2012

Sep 23, 2013

WUND, JEFF, STEPHEN

CHIEF COMPLIANCE OFFICER

yes

01/2005

Mar 28, 2012

Sep 23, 2013

LEE, JASON, GORDON ENG

Member

05/2013

Sep 12, 2013

Sep 23, 2013

LEE, JONATHAN, EDWARD

Member

05/2013

Sep 12, 2013

Sep 23, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NADINE GORDON LEE CPA, PLLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 25, 2013

$284M

n/a

2011

Mar 28, 2012

$246M

$243M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$306M

$246M

24.3%

n/a