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
Prospect Financial Services LLC
Latest filing Mar 9, 2026
First filing on the tape Jul 29, 2021 · 10 filings
SEC status approved since Aug 30, 2021
RAUM
$431M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$330M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$47.9M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$431M as of Mar 9, 2026
Mar 14, 2022$226M then
HNW client RAUM$210M as of Mar 9, 2026
Mar 14, 2022$117M then
State-registered IARs (5.B.3)9 as of Mar 9, 2026
Mar 14, 20226 then
Employees (5.A)12 as of Mar 9, 2026
Mar 14, 20229 then
Private funds: no history
RAUM +3.1% over the last fiscal year+24% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $47.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $372,831derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.5%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$210M49%
- Individuals$120M28%
- Pension and profit-sharing plans$98.8M23%
- Corporations and businesses$2.3M0.5%
- Individual clients
- 446reported
- HNW clients
- 74reported
- Pension plan clients
- 77reported
- Charitable clients
- n/areported
- Accounts
- 1,156reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=11.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Allan GoldfederCertified Financial Planner | Melville, Ny | Dec 21, 2021 | 31 y | 4 |
| Jay L Nathan | Melville, Ny | Dec 21, 2021 | 34 y | 1 |
| Sean Peter Rooney | Melville, Ny | Dec 21, 2021 | 30 y | 2 |
| David Frank Gerken | Melville, Ny | Dec 21, 2021 | 32 y | 1 |
| Lee Edward KilbrithPersonal Financial Specialist | Melville, Ny | Jan 6, 2023 | 28 y | 2 |
| Mark Steven Rathjen | Melville, Ny | Feb 8, 2023 | 29 y | 0 |
| Neal D O Sullivan | Farmingdale, Ny | Aug 16, 2024 | 37 y | 1 |
| Aidan James Rooney | Melville, Ny | Jan 21, 2026 | 10 y | 0 |
| Wange Liu | Melville, Ny | Apr 23, 2026 | 12 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 22% of current headcount2 left over 36 months
Left, latest
- Theodore Joseph Haggerty to Janney Montgomery Scott LLCApr 6, 2026 · RIA to affiliated broker-dealer or bank
- Luciano Santino Marciano to Equitable Advisors, LLCDec 15, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Theodore Joseph Haggerty from Catalyst Wealth Management LLCJul 3, 2025 · RIA to RIA
- Neal D O Sullivan from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 16, 2024 · Wirehouse to independent RIA
- Lee Edward Kilbrith from The Pinnacle Financial GroupJan 6, 2023 · RIA to RIA
- Luciano Santino Marciano from The Pinnacle Financial GroupDec 22, 2021 · RIA to a newly registered adviser
- David Frank Gerken from The Pinnacle Financial GroupDec 21, 2021 · RIA to a newly registered adviser
- Jay L Nathan from The Pinnacle Financial GroupDec 21, 2021 · RIA to a newly registered adviser
- Michael Allan Goldfeder from The Pinnacle Financial GroupDec 21, 2021 · RIA to a newly registered adviser
- Sean Peter Rooney from The Pinnacle Financial GroupDec 21, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from The Pinnacle Financial GroupDec 31, 2021 · Melville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L Jay Nathan · Partnercontrolsince 07/2021 · owns 25% to 50%
- Peter Sean Rooney · Managing Partner And Chief Compliance Officercontrolsince 07/2021 · owns 50% to 75%
- Carmine Anthony Sgueglia · Ownercontrolsince 07/2021 · owns 10% to 25%
- Frances Michael Fairbrother · Ownersince 07/2021 · owns less than 5%
Related persons
Schedule D 7.A
- The Chwast Cpa Group, P.C.insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Melville, Ny · principal | 9 | 2 | 2 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,178 to 1,156Jan 31, 2025 to Mar 9, 2026
- Advisory employees · 8 to 9Jan 31, 2025 to Mar 9, 2026
- BD registered reps · 10 to 11Jan 31, 2025 to Mar 9, 2026
- HNW clients · 71 to 74Jan 31, 2025 to Mar 9, 2026
- Individual clients · 491 to 446Jan 31, 2025 to Mar 9, 2026
- Pension plan clients · 65 to 77Jan 31, 2025 to Mar 9, 2026
- State-registered IARs · 8 to 9Jan 31, 2025 to Mar 9, 2026
- Discretionary RAUM · $418M to $431MJan 31, 2025 to Mar 9, 2026
- HNW RAUM · $231M to $210MJan 31, 2025 to Mar 9, 2026
- Individual RAUM · $126M to $120MJan 31, 2025 to Mar 9, 2026
- Pension RAUM · $59.8M to $98.8MJan 31, 2025 to Mar 9, 2026
- RAUM · $418M to $431MJan 31, 2025 to Mar 9, 2026
- Accounts · 1,064 to 1,178Apr 19, 2024 to Jan 31, 2025
- Advisory employees · 7 to 8Apr 19, 2024 to Jan 31, 2025
- BD registered reps · 9 to 10Apr 19, 2024 to Jan 31, 2025
- Corporate clients · 11 to 16Apr 19, 2024 to Jan 31, 2025
- HNW clients · 59 to 71Apr 19, 2024 to Jan 31, 2025
- Individual clients · 442 to 491Apr 19, 2024 to Jan 31, 2025
- Pension plan clients · 51 to 65Apr 19, 2024 to Jan 31, 2025
- Employees · 11 to 12Apr 19, 2024 to Jan 31, 2025
- Financial planning clients · 0 to 0Apr 19, 2024 to Jan 31, 2025
- State-registered IARs · 7 to 8Apr 19, 2024 to Jan 31, 2025
- Other offices · 1 to 0Apr 19, 2024 to Jan 31, 2025
- Discretionary RAUM · $301M to $418MApr 19, 2024 to Jan 31, 2025
- HNW RAUM · $155M to $231MApr 19, 2024 to Jan 31, 2025
- Individual RAUM · $108M to $126MApr 19, 2024 to Jan 31, 2025
- Pension RAUM · $36.3M to $59.8MApr 19, 2024 to Jan 31, 2025
- RAUM · $301M to $418MApr 19, 2024 to Jan 31, 2025
- Accounts · 884 to 1,064Aug 8, 2023 to Feb 9, 2024
- Corporate clients · 7 to 11Aug 8, 2023 to Feb 9, 2024
- HNW clients · 42 to 59Aug 8, 2023 to Feb 9, 2024
- Individual clients · 421 to 442Aug 8, 2023 to Feb 9, 2024
- Pension plan clients · unset to 51.0Aug 8, 2023 to Feb 9, 2024
- Discretionary RAUM · $229M to $301MAug 8, 2023 to Feb 9, 2024
- HNW RAUM · $123M to $155MAug 8, 2023 to Feb 9, 2024
- Individual RAUM · $105M to $108MAug 8, 2023 to Feb 9, 2024
- Pension RAUM · unset to 36311756.0Aug 8, 2023 to Feb 9, 2024
- RAUM · $229M to $301MAug 8, 2023 to Feb 9, 2024
- Accounts · 428 to 884Sep 1, 2022 to Mar 15, 2023
- Advisory employees · 6 to 7Sep 1, 2022 to Mar 15, 2023
Signals
4 dated events
- Theodore Joseph Haggerty left Prospect Financial Services Llc for Janney Montgomery Scott Llc (registered 2026-04-06)Apr 6, 2026 · Advisor changed firm · fact
- Luciano Santino Marciano left Prospect Financial Services Llc for Equitable Advisors, Llc (registered 2025-04-28)Dec 15, 2025 · Advisor changed firm · fact
- Prospect Financial Services Llc reported RAUM $418.1M, up 39% from $300.8M (2024-04-19 to 2025-01-31)Jan 31, 2025 · RAUM change · derived
- Prospect Financial Services Llc filed its initial SEC registration (Form ADV)Jul 29, 2021 · 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
- 631-223-4769reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 631-424-5218reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 631-629-4579reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- profinserv.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 631-424-5218reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- profinserv.net/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- profinserv.net/meet-the-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
- $47.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026