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.
SEC-registered adviser
Prowell Financial Management, LLC
Latest filing Mar 24, 2026
First filing on the tape Aug 15, 2016 · 17 filings
SEC status approved since Aug 22, 2016
RAUM
$6.9B
reported, Item 5.F
Discretionary
19%
of RAUM
Private clients
97%
$6.7B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$2.3B
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$6.9B as of Mar 24, 2026
Mar 13, 2017$134M then
HNW client RAUM$6.6B as of Mar 24, 2026
Mar 28, 2018$175M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 13, 20172 then
Employees (5.A)4 as of Mar 24, 2026
Mar 13, 20174 then
Private funds: no history
RAUM -15% over the last fiscal year+2.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $2.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $195MderivedHNW RAUM over HNW clients
- Average account
- $17.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 19%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $104M, 9 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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$6.6B97%
- Charitable organizations$166M2.4%
- Individuals$44.3M0.6%
- Corporations and businesses$22.3M0.3%
- Individual clients
- 23reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- 8reported
- Accounts
- 404reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| Mark Edward Prowell | Exton, Pa | Feb 12, 2016 | 38 y | 2 |
| Courtney Lynn KauffmanCertified Financial Planner | Exton, Pa | Nov 17, 2021 | 11 y | 0 |
| Sarah Cook Lynch | Exton, Pa | Mar 6, 2024 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Mark Edward Prowell from Lincoln InvestmentFeb 12, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Mark Prowell · Managing Membercontrolsince 11/2015 · owns 75% or more
- Lynn Courtney Kauffman · Managing Director/Ccosince 07/2023 · owns 10% to 25%
- Cook Sarah Lynch · Vp Of Operationssince 07/2023 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Exton, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 24, 2026HNW RAUM per HNW client of $195,033,748 against a peer median of $4,554,235 (279 comparable advisers, 100.0th percentile, 58.4 robust deviations)peers: independent wealth managers, $5B to $20B (279) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 367 to 404Aug 4, 2025 to Mar 24, 2026
- Charity clients · 5 to 8Aug 4, 2025 to Mar 24, 2026
- HNW clients · 31 to 34Aug 4, 2025 to Mar 24, 2026
- Individual clients · 15 to 23Aug 4, 2025 to Mar 24, 2026
- Assets in custody · $86.4M to $104MAug 4, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.3B to $1.3BAug 4, 2025 to Mar 24, 2026
- HNW RAUM · $7.8B to $6.6BAug 4, 2025 to Mar 24, 2026
- Individual RAUM · $20.5M to $44.3MAug 4, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $6.8B to $5.6BAug 4, 2025 to Mar 24, 2026
- RAUM · $8.1B to $6.9BAug 4, 2025 to Mar 24, 2026
- Accounts · 325 to 367Mar 25, 2024 to Feb 25, 2025
- Advisory employees · 2 to 3Mar 25, 2024 to Feb 25, 2025
- Charity clients · unset to 5.0Mar 25, 2024 to Feb 25, 2025
- Corporate clients · unset to 9.0Mar 25, 2024 to Feb 25, 2025
- HNW clients · 29 to 31Mar 25, 2024 to Feb 25, 2025
- Individual clients · 17 to 15Mar 25, 2024 to Feb 25, 2025
- Assets in custody · unset to 86418631.0Mar 25, 2024 to Feb 25, 2025
- Custody of client assets · false to trueMar 25, 2024 to Feb 25, 2025
- Financial planning clients · 26-50 to 26-50Mar 25, 2024 to Feb 25, 2025
- Other offices · 0 to 1Mar 25, 2024 to Feb 25, 2025
- Discretionary RAUM · $1.0B to $1.3BMar 25, 2024 to Feb 25, 2025
- HNW RAUM · $8.2B to $7.8BMar 25, 2024 to Feb 25, 2025
- Individual RAUM · $7.0M to $20.5MMar 25, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $7.3B to $6.8BMar 25, 2024 to Feb 25, 2025
- RAUM · $8.3B to $8.1BMar 25, 2024 to Feb 25, 2025
- Accounts · 271 to 325Jul 25, 2023 to Mar 25, 2024
- Advisory employees · 1 to 2Jul 25, 2023 to Mar 25, 2024
- HNW clients · 26 to 29Jul 25, 2023 to Mar 25, 2024
- Individual clients · 10 to 17Jul 25, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 3Jul 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $946M to $1.0BJul 25, 2023 to Mar 25, 2024
- HNW RAUM · $6.3B to $8.2BJul 25, 2023 to Mar 25, 2024
- Individual RAUM · $7.4M to $7.0MJul 25, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $5.5B to $7.3BJul 25, 2023 to Mar 25, 2024
- RAUM · $6.4B to $8.3BJul 25, 2023 to Mar 25, 2024
- Accounts · 234 to 271Mar 25, 2022 to Mar 14, 2023
- Corporate clients · 12.0 to unsetMar 25, 2022 to Mar 14, 2023
- HNW clients · 63 to 26Mar 25, 2022 to Mar 14, 2023
- Individual clients · 7 to 10Mar 25, 2022 to Mar 14, 2023
- Assets in custody · 285811604.0 to unsetMar 25, 2022 to Mar 14, 2023
Signals
5 dated events
- Prowell Financial Management, Llc reported RAUM $8.3B, up 30% from $6.4B (2023-07-25 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Prowell Financial Management, Llc reported RAUM $6.4B, up 481% from $1.1B (2022-03-25 to 2023-03-14)Mar 14, 2023 · RAUM change · derived
- Prowell Financial Management, Llc reported RAUM $1.1B, up 61% from $686.3M (2021-03-29 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Prowell Financial Management, Llc reported RAUM $686.3M, up 163% from $260.7M (2020-06-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Prowell Financial Management, Llc filed its initial SEC registration (Form ADV)Aug 15, 2016 · 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 phone
- 484-359-4057reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- PROWELL-FINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 484-359-4057reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- prowell-financial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- prowell-financial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $2.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026