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 Financial Concepts

Former SEC-registered adviserCRD 159382SEC 801-127309IAPD
Legal name Prism Investment Management, Inc.
Latest filing Jan 9, 2023
First filing on the tape Dec 9, 2011 · 7 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Jan 9, 2023
Dec 9, 2011$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of Jan 9, 2023; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Tyler David Heymann · President And Chief Compliance Officercontrol
    since 11/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 210 to 0
    May 21, 2012 to Jan 9, 2023
  • Advisory employees · unset to 1.0
    May 21, 2012 to Jan 9, 2023
  • Advisory activities · 5 to 4
    May 21, 2012 to Jan 9, 2023
  • BD registered reps · unset to 0.0
    May 21, 2012 to Jan 9, 2023
  • Business name · PRISM INVESTMENT MANAGEMENT, INC. to PRISM FINANCIAL CONCEPTS
    May 21, 2012 to Jan 9, 2023
  • Commission compensation · true to false
    May 21, 2012 to Jan 9, 2023
  • Employees · unset to 2.0
    May 21, 2012 to Jan 9, 2023
  • Insurance-licensed employees · 0 to 1
    May 21, 2012 to Jan 9, 2023
  • Financial planning clients · 51-100 to 0
    May 21, 2012 to Jan 9, 2023
  • HQ city · SCOTTSDALE to unset
    May 21, 2012 to Jan 9, 2023
  • HQ state · AZ to unset
    May 21, 2012 to Jan 9, 2023
  • State-registered IARs · unset to 1.0
    May 21, 2012 to Jan 9, 2023
  • Other offices · unset to 0.0
    May 21, 2012 to Jan 9, 2023
  • Discretionary RAUM · $18.0M to $0
    May 21, 2012 to Jan 9, 2023
  • Non-discretionary RAUM · $2.0M to $0
    May 21, 2012 to Jan 9, 2023
  • RAUM · $20.0M to $0
    May 21, 2012 to Jan 9, 2023
  • Related insurance company · true to false
    May 21, 2012 to Jan 9, 2023
  • Accounts · 0 to 210
    Feb 9, 2012 to Apr 13, 2012
  • Commission compensation · false to true
    Feb 9, 2012 to Apr 13, 2012
  • Financial planning clients · 0 to 51-100
    Feb 9, 2012 to Apr 13, 2012
  • Discretionary RAUM · $0 to $18.0M
    Feb 9, 2012 to Apr 13, 2012
  • Non-discretionary RAUM · $0 to $2.0M
    Feb 9, 2012 to Apr 13, 2012
  • RAUM · $0 to $20.0M
    Feb 9, 2012 to Apr 13, 2012
  • Related insurance company · false to true
    Feb 9, 2012 to Apr 13, 2012
  • Business name · PRISM FINANCIAL CONCEPTS, PC to PRISM INVESTMENT MANAGEMENT, INC.
    Dec 9, 2011 to Jan 12, 2012
  • Legal name · PRISM FINANCIAL CONCEPTS, PC to PRISM INVESTMENT MANAGEMENT, INC.
    Dec 9, 2011 to Jan 12, 2012
Signals
3 dated events
  • Prism Financial Concepts filed its initial SEC registration (Form ADV)
    Jan 9, 2023 · First SEC registration · fact
  • Ann Patricia Lloyd (Vice President And Chief Compliance Officer) no longer on Schedule A of Prism Financial Concepts (listed 2012-05-21, absent 2023-01-09)
    Jan 9, 2023 · Control person left · inference
  • David Tyler Heymann left Prism Financial Concepts for First Allied Advisory Services, Inc. (registered 2014-02-26)
    Jun 22, 2022 · Advisor changed firm · 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