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.
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SEC-registered adviser
P••••••••• F••••••••
Legal name P••••••••• F•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 16, 2022 · 13 filings
SEC status approved since Apr 18, 2022
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$111M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$129M as of Mar 17, 2026
Jan 25, 2023$93.8M then
HNW client RAUM$104M as of Mar 17, 2026
Jan 25, 2023$69.6M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Jan 25, 20233 then
Employees (5.A)3 as of Mar 17, 2026
Jan 25, 20233 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $42.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $416,761derivedHNW RAUM over HNW clients
- Average account
- $417,745derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 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
- +345%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $48.9M, 78 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$104M81%
- Charitable organizations$13.3M10%
- Individuals$7.3M5.6%
- Pension and profit-sharing plans$3.9M3.0%
- Individual clients
- 44reported
- HNW clients
- 250reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 308reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.9M for 78 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• G•••••• K•••••Certified Financial Planner | San Francisco, Ca | Jul 2, 2019 | 26 y | 2 |
| E••• R••••• J••••Certified Financial Planner, Chartered Financial Consultant | Missoula, Mt | Nov 21, 2023 | 13 y | 2 |
| S••• A• F•••••••Certified Financial Planner | San Francisco, Ca | Aug 21, 2026 | 24 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••••••• B••• H••••• to H••••• P••••••• F••••••Feb 27, 2012 · RIA to a state-registered adviser
Joined, latest
- S••• A• F••••••• from F•• S••••••••• C•••••••••Aug 21, 2026 · Other
- E••• R••••• J•••• from S•• I••••••••• A•••••••• I•••Nov 21, 2023 · RIA to RIA
- H•••• G•••••• K••••• from O••••••••• A•••• M••••••••• L••Jul 2, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• S•••• A• · Chief Compliance Officer And Managing Membercontrolsince 10/2008 · 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 |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 292 to 308Feb 10, 2025 to Mar 17, 2026
- HNW clients · 57 to 250Feb 10, 2025 to Mar 17, 2026
- Individual clients · 9 to 44Feb 10, 2025 to Mar 17, 2026
- Assets in custody · $79.7M to $48.9MFeb 10, 2025 to Mar 17, 2026
- Discretionary RAUM · $116M to $129MFeb 10, 2025 to Mar 17, 2026
- HNW RAUM · $93.4M to $104MFeb 10, 2025 to Mar 17, 2026
- Individual RAUM · $5.0M to $7.3MFeb 10, 2025 to Mar 17, 2026
- Pension RAUM · $927,492 to $3.9MFeb 10, 2025 to Mar 17, 2026
- RAUM · $116M to $129MFeb 10, 2025 to Mar 17, 2026
- Accounts · 300 to 292Nov 13, 2024 to Feb 10, 2025
- HNW clients · 53 to 57Nov 13, 2024 to Feb 10, 2025
- Individual clients · 14 to 9Nov 13, 2024 to Feb 10, 2025
- Assets in custody · $18.2M to $79.7MNov 13, 2024 to Feb 10, 2025
- Employees · 4 to 3Nov 13, 2024 to Feb 10, 2025
- Financial planning clients · 0 to 0Nov 13, 2024 to Feb 10, 2025
- Other offices · 4 to 3Nov 13, 2024 to Feb 10, 2025
- Discretionary RAUM · $107M to $116MNov 13, 2024 to Feb 10, 2025
- HNW RAUM · $83.2M to $93.4MNov 13, 2024 to Feb 10, 2025
- Individual RAUM · $6.3M to $5.0MNov 13, 2024 to Feb 10, 2025
- Pension RAUM · $469,422 to $927,492Nov 13, 2024 to Feb 10, 2025
- RAUM · $107M to $116MNov 13, 2024 to Feb 10, 2025
- Other offices · 3 to 4Jul 12, 2024 to Nov 13, 2024
- HNW clients · 45 to 53Nov 28, 2023 to Jan 26, 2024
- Individual clients · 21 to 14Nov 28, 2023 to Jan 26, 2024
- Assets in custody · $90.7M to $18.2MNov 28, 2023 to Jan 26, 2024
- Employees · 3 to 4Nov 28, 2023 to Jan 26, 2024
- Discretionary RAUM · $80.1M to $107MNov 28, 2023 to Jan 26, 2024
- HNW RAUM · $69.6M to $83.2MNov 28, 2023 to Jan 26, 2024
- Individual RAUM · $9.5M to $6.3MNov 28, 2023 to Jan 26, 2024
- Non-discretionary RAUM · $13.7M to $0Nov 28, 2023 to Jan 26, 2024
- Pension RAUM · $377,721 to $469,422Nov 28, 2023 to Jan 26, 2024
- RAUM · $93.8M to $107MNov 28, 2023 to Jan 26, 2024
- Accounts · 327 to 300Apr 25, 2022 to Jan 25, 2023
- Advisory employees · 2 to 3Apr 25, 2022 to Jan 25, 2023
- Charity clients · 2.0 to unsetApr 25, 2022 to Jan 25, 2023
- HNW clients · 46 to 45Apr 25, 2022 to Jan 25, 2023
- Individual clients · 26 to 21Apr 25, 2022 to Jan 25, 2023
- Pension plan clients · 3.0 to unsetApr 25, 2022 to Jan 25, 2023
- Assets in custody · $12.1M to $90.7MApr 25, 2022 to Jan 25, 2023
- Employees · 4 to 3Apr 25, 2022 to Jan 25, 2023
Signals
1 dated events
- P••••••••• F•••••••• filed its initial SEC registration (Form ADV)Mar 16, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@prospettivafinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-362-8636reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-362-8889reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/prospettiva-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-362-8636reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- prospettivafinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- prospettivafinancial.com/team/sean-fletcherreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $42.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026