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

Prism Advisory Group, LLC

Former SEC-registered adviserNewtown, PennsylvaniaCRD 152555SEC 801-70938IAPD
Latest filing Mar 26, 2021
First filing on the tape Mar 14, 2012 · 16 filings
RAUM
$184M
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
99%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$23.5M gross assets
History
16 filings and snapshots on the tape
RAUM$184M as of Mar 26, 2021
Mar 14, 2012$173M then
HNW client RAUM$152M as of Mar 26, 2021
Mar 28, 2018$89.1M then
State-registered IARs (5.B.3)2 as of Mar 26, 2021
Mar 14, 20120 then
Employees (5.A)6 as of Mar 26, 2021
Mar 27, 20134 then
Private funds: 1
RAUM +5.1% over the last fiscal year+2.1% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
RAUM per advisor
$92.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
76derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$333,449derivedRAUM over accounts (5.F.2.f)
Discretionary
21%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$6.5M, 19 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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$152M83%
  • Individuals$30.5M17%
  • Pension and profit-sharing plans$960,6220.5%
  • Corporations and businesses$669,4060.4%
Individual clients
88reported
HNW clients
64reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
553reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$6.5M for 19 clientsreported
Compensation
% of AUM, fixedreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Robert Savino · Membercontrol
      since 12/2009 · owns 50% to 75%
    • Victor Richard Simkus · Managing Member And Chief Compliance Officercontrol
      since 12/2009 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Prism Advisory Group, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 563 to 553
      Jun 19, 2020 to Mar 26, 2021
    • HNW clients · 48 to 64
      Jun 19, 2020 to Mar 26, 2021
    • Individual clients · 85 to 88
      Jun 19, 2020 to Mar 26, 2021
    • Assets in custody · $5.5M to $6.5M
      Jun 19, 2020 to Mar 26, 2021
    • Insurance-licensed employees · 1 to 2
      Jun 19, 2020 to Mar 26, 2021
    • Financial planning clients · 51-100 to 101-250
      Jun 19, 2020 to Mar 26, 2021
    • State-registered IARs · 4 to 2
      Jun 19, 2020 to Mar 26, 2021
    • Private funds · unset to 1
      Jun 19, 2020 to Mar 26, 2021
    • Discretionary RAUM · $40.9M to $38.3M
      Jun 19, 2020 to Mar 26, 2021
    • HNW RAUM · $139M to $152M
      Jun 19, 2020 to Mar 26, 2021
    • Individual RAUM · $33.6M to $30.5M
      Jun 19, 2020 to Mar 26, 2021
    • Non-discretionary RAUM · $134M to $146M
      Jun 19, 2020 to Mar 26, 2021
    • Pension RAUM · $2.1M to $960,622
      Jun 19, 2020 to Mar 26, 2021
    • RAUM · $175M to $184M
      Jun 19, 2020 to Mar 26, 2021
    • Related adviser · true to false
      Jun 19, 2020 to Mar 26, 2021
    • Accounts · 674 to 563
      Mar 28, 2019 to Mar 5, 2020
    • Individual clients · 82 to 85
      Mar 28, 2019 to Mar 5, 2020
    • Assets in custody · unset to 5500797.0
      Mar 28, 2019 to Mar 5, 2020
    • Custody of client assets · false to true
      Mar 28, 2019 to Mar 5, 2020
    • Other offices · 1 to 0
      Mar 28, 2019 to Mar 5, 2020
    • Discretionary RAUM · $31.0M to $40.9M
      Mar 28, 2019 to Mar 5, 2020
    • HNW RAUM · $117M to $139M
      Mar 28, 2019 to Mar 5, 2020
    • Individual RAUM · $34.0M to $33.6M
      Mar 28, 2019 to Mar 5, 2020
    • Non-discretionary RAUM · $122M to $134M
      Mar 28, 2019 to Mar 5, 2020
    • Pension RAUM · $2.0M to $2.1M
      Mar 28, 2019 to Mar 5, 2020
    • RAUM · $153M to $175M
      Mar 28, 2019 to Mar 5, 2020
    • Accounts · 511 to 674
      Oct 18, 2018 to Mar 28, 2019
    • Corporate clients · 7.0 to unset
      Oct 18, 2018 to Mar 28, 2019
    • HNW clients · 151 to 48
      Oct 18, 2018 to Mar 28, 2019
    • Individual clients · 162 to 82
      Oct 18, 2018 to Mar 28, 2019
    • Pension plan clients · 35.0 to unset
      Oct 18, 2018 to Mar 28, 2019
    • Pooled vehicle clients · 88.0 to unset
      Oct 18, 2018 to Mar 28, 2019
    • State-registered IARs · 3 to 4
      Oct 18, 2018 to Mar 28, 2019
    • Discretionary RAUM · $27.8M to $31.0M
      Oct 18, 2018 to Mar 28, 2019
    • HNW RAUM · $89.1M to $117M
      Oct 18, 2018 to Mar 28, 2019
    • Individual RAUM · $11.3M to $34.0M
      Oct 18, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $145M to $122M
      Oct 18, 2018 to Mar 28, 2019
    • Pension RAUM · $6.1M to $2.0M
      Oct 18, 2018 to Mar 28, 2019
    • Pooled vehicle RAUM · 45652219.0 to unset
      Oct 18, 2018 to Mar 28, 2019
    • RAUM · $173M to $153M
      Oct 18, 2018 to Mar 28, 2019
    Signals
    No event on the tape.
    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