DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Prince Financial Advisory LLC
Latest filing Feb 13, 2026
First filing on the tape Apr 11, 2014 · 25 filings
SEC status approved since Apr 28, 2014
RAUM
$62.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$62.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$62.2M as of Feb 13, 2026
Feb 11, 2015$33.6M then
HNW client RAUM$45.5M as of Feb 13, 2026
Feb 12, 2018$15.6M then
State-registered IARs (5.B.3)1 as of Feb 13, 2026
Feb 11, 20151 then
Employees (5.A)1 as of Feb 13, 2026
Feb 11, 20151 then
Private funds: no history
RAUM +11% over the last fiscal year+9.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
- RAUM per advisor
- $62.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $514,339derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $9.6M, 16 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$45.5M73%
- Individuals$16.7M27%
- Individual clients
- 35reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 121reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.6M for 16 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- Lauren Phyllis Prince to Sax Wealth Advisors, LLCJun 22, 2026 · RIA to RIA
Joined, latest
- Lauren Phyllis Prince from National Planning Corporation ("Npc Of America" In Fl & Ny)Apr 1, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Phyllis Lauren Prince · Owner/Ccocontrolsince 03/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boynton Beach, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Boynton Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 116 to 121Oct 9, 2025 to Feb 13, 2026
- HNW clients · 12 to 25Oct 9, 2025 to Feb 13, 2026
- Individual clients · 51 to 35Oct 9, 2025 to Feb 13, 2026
- Assets in custody · $5.9M to $9.6MOct 9, 2025 to Feb 13, 2026
- Discretionary RAUM · $56.2M to $62.2MOct 9, 2025 to Feb 13, 2026
- HNW RAUM · $30.5M to $45.5MOct 9, 2025 to Feb 13, 2026
- Individual RAUM · $25.3M to $16.7MOct 9, 2025 to Feb 13, 2026
- Pension RAUM · 351940.0 to unsetOct 9, 2025 to Feb 13, 2026
- RAUM · $56.2M to $62.2MOct 9, 2025 to Feb 13, 2026
- Assets in custody · $5.8M to $5.9MJul 7, 2025 to Oct 9, 2025
- Financial planning clients · 0 to 0Jul 7, 2025 to Oct 9, 2025
- Accounts · 125 to 116Dec 18, 2024 to Mar 3, 2025
- HNW clients · 11 to 12Dec 18, 2024 to Mar 3, 2025
- Individual clients · 52 to 51Dec 18, 2024 to Mar 3, 2025
- Assets in custody · $5.0M to $5.8MDec 18, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 0Dec 18, 2024 to Mar 3, 2025
- Discretionary RAUM · $50.6M to $56.2MDec 18, 2024 to Mar 3, 2025
- HNW RAUM · $22.2M to $30.5MDec 18, 2024 to Mar 3, 2025
- Individual RAUM · $28.4M to $25.3MDec 18, 2024 to Mar 3, 2025
- Pension RAUM · unset to 351940.0Dec 18, 2024 to Mar 3, 2025
- RAUM · $50.6M to $56.2MDec 18, 2024 to Mar 3, 2025
- Other offices · 0 to 1Feb 13, 2024 to Dec 18, 2024
- Accounts · 156 to 125Nov 3, 2023 to Feb 13, 2024
- HNW clients · 16 to 11Nov 3, 2023 to Feb 13, 2024
- Individual clients · 48 to 52Nov 3, 2023 to Feb 13, 2024
- Assets in custody · $41.9M to $5.0MNov 3, 2023 to Feb 13, 2024
- Discretionary RAUM · $47.6M to $50.6MNov 3, 2023 to Feb 13, 2024
- HNW RAUM · $26.2M to $22.2MNov 3, 2023 to Feb 13, 2024
- Individual RAUM · $21.4M to $28.4MNov 3, 2023 to Feb 13, 2024
- RAUM · $47.6M to $50.6MNov 3, 2023 to Feb 13, 2024
- Accounts · 128 to 156Feb 8, 2022 to Jan 31, 2023
- HNW clients · 10 to 16Feb 8, 2022 to Jan 31, 2023
- Individual clients · 65 to 48Feb 8, 2022 to Jan 31, 2023
- Pension plan clients · 3.0 to unsetFeb 8, 2022 to Jan 31, 2023
- Assets in custody · $47.1M to $41.9MFeb 8, 2022 to Jan 31, 2023
- Discretionary RAUM · $53.4M to $47.6MFeb 8, 2022 to Jan 31, 2023
- HNW RAUM · $23.1M to $26.2MFeb 8, 2022 to Jan 31, 2023
- Individual RAUM · $30.1M to $21.4MFeb 8, 2022 to Jan 31, 2023
- Pension RAUM · 100000.0 to unsetFeb 8, 2022 to Jan 31, 2023
- RAUM · $53.4M to $47.6MFeb 8, 2022 to Jan 31, 2023
Signals
3 dated events
- Prince Financial Advisory Llc no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $62.2M)Jul 1, 2026 · Left the SEC roster · derived
- Lauren Phyllis Prince left Prince Financial Advisory Llc for Sax Wealth Advisors, Llc (registered 2026-04-01)Jun 22, 2026 · Advisor changed firm · fact
- Prince Financial Advisory Llc filed its initial SEC registration (Form ADV)Apr 11, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026