DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

PRINCE FINANCIAL ADVISORY LLC

CRD 131234

NEW YORK, 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:5feed8d2-95e1-e133-d61b-6c6580c93f95

Data as of Feb 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 3
On other graphs: 0
Observed: Apr 11, 2014 to Feb 13, 2026
25 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: $62.2MItem 5.F on the latest filing (2026-02-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $62.2M
Private client RAUM: $62.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 121
Individual clients: 35
High net worth clients: 25
Custody, client assets: $9.6M
SEC number: 801-79626
CRD: 131234
Filings on the tape: 25
First filed: Apr 11, 2014
Latest filed: Feb 13, 2026
Organised: Limited Liability Company, NY

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
PRINCE, LAUREN, PHYLLIS	OWNER/CCO	E	yes	03/2004	Apr 11, 2014	Dec 18, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
BOYNTON BEACH	FL	United States	1	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
2025	Feb 13, 2026	$62.2M	$62.2M	1	1	1	n/a	n/a
2024	Mar 3, 2025	$56.2M	$56.2M	1	1	1	n/a	n/a
2023	Feb 13, 2024	$50.6M	$50.6M	1	1	0	n/a	n/a
2022	Jan 31, 2023	$47.6M	$47.6M	1	1	0	n/a	n/a
2021	Feb 8, 2022	$53.4M	$53.4M	1	1	0	n/a	n/a
2020	Jan 25, 2021	$42.9M	$42.9M	1	1	0	n/a	n/a
2019	Mar 3, 2020	$38.7M	$38.7M	1	1	0	n/a	n/a
2018	Mar 8, 2019	$35.1M	$35.1M	1	1	0	n/a	n/a
2017	Feb 12, 2018	$34.7M	$34.7M	1	1	0	n/a	n/a
2016	Feb 25, 2017	$35.6M	$35.6M	1	1	n/a	n/a	n/a
2015	Feb 29, 2016	$32.1M	$31.8M	1	1	n/a	n/a	n/a
2014	Feb 11, 2015	$33.6M	$33.3M	1	1	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	1	-1	n/a	0	1	0	0	1

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	$62.2M	$56.2M	10.8%	$47.6M	9.3%	1	1	1	1

Relationships

Registered with (1)

← LAUREN PHYLLIS PRINCEAdvisorregistration: previous registration
Apr 1, 2019 to Jun 22, 2026factForm ADV

Controls (1)

← PRINCE, LAUREN, PHYLLISOwnerOWNER/CCO, ownership code E, individual
Apr 11, 2014 to Dec 18, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 22, 2026
Advisor changed firm
Lauren Phyllis Prince left Prince Financial Advisory Llc for Sax Wealth Advisors, Llc (registered 2026-04-01)
Form ADVobserved 5 days ago
Occurred
Apr 11, 2014
First Form ADV filing
Prince Financial Advisory Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Jul 1, 2026
Prince Financial Advisory Llc no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $62.2M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5feed8d2-95e1-e133-d61b-6c6580c93f95
First observed: Apr 11, 2014
Last observed: Feb 13, 2026 7 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.

PRINCE FINANCIAL ADVISORY LLC

CRD 131234

NEW YORK, 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:5feed8d2-95e1-e133-d61b-6c6580c93f95

Data as of Feb 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PRINCE, LAUREN, PHYLLIS

OWNER/CCO

yes

03/2004

Apr 11, 2014

Dec 18, 2024

City

State

Country

Employees

Also broker-dealer

BOYNTON BEACH

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 13, 2026

$62.2M

n/a

2024

Mar 3, 2025

$56.2M

n/a

2023

Feb 13, 2024

$50.6M

n/a

2022

Jan 31, 2023

$47.6M

n/a

2021

Feb 8, 2022

$53.4M

n/a

2020

Jan 25, 2021

$42.9M

n/a

2019

Mar 3, 2020

$38.7M

n/a

2018

Mar 8, 2019

$35.1M

n/a

2017

Feb 12, 2018

$34.7M

n/a

2016

Feb 25, 2017

$35.6M

n/a

2015

Feb 29, 2016

$32.1M

$31.8M

n/a

2014

Feb 11, 2015

$33.6M

$33.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$62.2M

$56.2M

10.8%

$47.6M

9.3%