PROWELL FINANCIAL MANAGEMENT, LLC
Adviser information for PROWELL FINANCIAL MANAGEMENT, LLC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 250 | $1.0B |
| Non-Discretionary | 75 | $7.3B |
| Total | 325 | $8.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 17 | $7.0M |
| HNW Individuals | 29 | $8.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $124.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $9.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-108292 |
|---|---|
| SEC ERA File Number | 801-108292 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281762 |
| Legal Entity Identifier | None |
Principal Office
717 CONSTITUTION DRIVESUITE 102
EXTON
PA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 484-359-4057, Fax: None
Websites
Chief Compliance Officer
MARK PROWELL
717 CONSTITUTION DRIVE, SUITE 102
SUITE 102
EXTON
PA
United States
Tel:
484-359-4057
M***@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PROWELL, MARK, EDWARD | Individual | – | MANAGING MEMBER/CCO | 11/2015 | > 75% |
| Kauffman, Courtney, Lynn | Individual | – | MANAGING DIRECTOR | 07/2023 | 10-25% |
| LYNCH, SARAH, COOK | Individual | – | VP OF OPERATIONS | 07/2023 | 5-10% |