Hedge Fund Database

PRISM ADVISORS, INC.

Adviser information for PRISM ADVISORS, INC. last updated from Form ADV on March 26th, 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 Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 640 $412.1M
Non-Discretionary 66 $3.9M
Total 706 $415.9M

Clients

Type Number RAUM
Individuals 185 $43.3M
HNW Individuals 76 $372.6M
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 0 $0
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting services
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 412.1M
Portfolio Manager to Program Sponsor
PRISM WRAP PROGRAM PRISM ADVISORS, INC.

Identifiers

SEC RIA File Number 801-110196
SEC ERA File Number 801-110196
SEC CIK Numbers 1717027
SEC CRD Numbers 286474
Legal Entity Identifier None

Principal Office

4361 TUJUNGA AVENUE
SUITE A
STUDIO CITY
CA
United States
Monday - Friday, 6-3:30PM
Tel: 818-760-3333, Fax: 818-760-3373

Websites

prismadvisors.com/

Chief Compliance Officer

STACEY SNOW
4361 TUJUNGA AVENUE
SUITE A
STUDIO CITY
CA
United States
Tel: 818-760-3333
(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
MCCOY, MCGINNIS, ANDREW Individual – PRESIDENT 06/2003 50-75%
Aquino, Amy, Louise Individual – SECRETARY 06/2003 50-75%
SNOW, STACEY, KIYOMI Individual – CHIEF COMPLIANCE OFFICER 04/2017 < 5%

No. Employees, Historic

10502020202120222023202420255 on 2/24/20205 on 5/1/20206 on 2/3/20215 on 3/3/20225 on 3/20/20235 on 11/8/20235 on 3/26/2024

RAUM, Historic

500M250M0202020212022202320242025353063780 on 2/24/2020353063780 on 5/1/2020368023913 on 2/3/2021418188080 on 3/3/2022370751155 on 3/20/2023370751155 on 11/8/2023415928424 on 3/26/2024

No. Clients, Historic

3001500202020212022202320242025227 on 2/24/2020227 on 5/1/2020231 on 2/3/2021236 on 3/3/2022253 on 3/20/2023253 on 11/8/2023261 on 3/26/2024

Holdings

From latest 13F, filed July 10th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
WISDOMTREE US VALUE FUND OF BENEF INTEREST ETF 14M 198K –
INVESCO QQQ TRUST SERIES I ETF 9M 19K –
INVESCO WATER RESOURCES ETF ETF 10M 150K –
ISHARES MSCI EMERGING MARKETS ETF ETF 4M 88K –
ISHARES MSCI KLD 400 SOCIAL ETF ETF 676K 7K –
SPDR S&P 500 ETF TRUST ETF 11M 20K –
FIDELITY VALUE FACTOR ETF ETF 25M 439K –
MASTERCARD INCORPORATED CL A Stock 485K 1K –
INNOVATIVE INDL PPTYS INC COM REIT 378K 3K –
NUVEEN ESG LARGE-CAP GROWTH ETF ETF 590K 7K –
TE CONNECTIVITY LTD SHS Stock 237K 2K –
NUVEEN ESG INTERNATIONAL DEVELOPED MARKETS EQUITY ETF ETF 810K 26K –
COLUMBIA EM CORE EX-CHINA ETF ETF 24M 765K –
SPDR GOLD SHARES ETF 445K 2K –
ISHARES MSCI CHINA A ETF ETF 9M 362K –
JPMORGAN ULTRA-SHORT INCOME ETF ETF 13M 256K –
BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 376K 925 –
ALPHABET INC CAP STK CL A Stock 525K 3K –
MICROSOFT CORP COM Stock 575K 1K –
JPMORGAN U.S. QUALITY FACTOR ETF ETF 11M 205K –
VANGUARD FTSE EUROPE ETF ETF 1M 17K –
SCHWAB U.S. LARGE-CAP VALUE ETF ETF 485K 7K –
ISHARES IBONDS DEC 2026 TERM MUNI BOND ETF ETF 903K 36K –
INVESCO S&P 500 EQUAL WEIGHT ETF ETF 12M 74K –
ISHARES IBONDS DEC 2027 TERM MUNI BOND ETF ETF 1M 45K –
ISHARES 0-5 YEAR TIPS BOND ETF ETF 310K 3K –
FREEDOM 100 EMERGING MARKETS ETF ETF 2M 48K –
ELI LILLY & CO COM Stock 227K 251 –
JPMORGAN BETABUILDERS INTERNATIONAL EQUITY ETF ETF 16M 269K –
INVESCO NASDAQ 100 ETF ETF 9M 43K –
VISA INC COM CL A Stock 242K 1K –
ISHARES MSCI EAFE MIN VOL FACTOR ETF ETF 2M 31K –
VANGUARD VALUE ETF ETF 6M 38K –
INVESCO ESG NASDAQ 100 ETF ETF 546K 16K –
FT VEST LADDERED NASDAQ BUFFER ETF ETF 5M 160K –
ISHARES CORE MSCI EAFE ETF ETF 4M 57K –
NVIDIA CORPORATION COM Stock 567K 5K –
CALVERT ULTRA-SHORT INVESTMENT GRADE ETF ETF 533K 11K –
INVESCO S&P GLOBAL WATER INDEX ETF ETF 6M 103K –
MCDONALDS CORP COM Stock 229K 898 –
INVESCO LARGE CAP GROWTH ETF ETF 2M 22K –
SCHWAB FUNDAMENTAL U.S. LARGE COMPANY ETF ETF 12M 179K –
COLUMBIA U.S. EQUITY INCOME ETF ETF 1M 29K –
ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 356K 2K –
PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF ETF 15M 153K –
ISHARES S&P 500 VALUE ETF ETF 782K 4K –
ISHARES CORE S&P 500 ETF ETF 434K 793 –
PITNEY BOWES INC COM Stock 100K 20K –
TJX COS INC NEW COM Stock 220K 2K –
FIRST TRUST RISING DIVIDEND ACHIEVERS ETF ETF 1M 23K –
AMGEN INC COM Stock 430K 1K –
ISHARES CORE S&P US VALUE ETF ETF 1M 13K –
ISHARES 7-10 YEAR TREASURY BOND ETF ETF 793K 8K –
ISHARES CORE DIVIDEND GROWTH ETF ETF 9M 157K –
WISDOMTREE INTERNATIONAL HEDGED QUALITY DIVIDEND GROWTH FUND ETF 26M 573K –
FIRST TRUST WATER ETF ETF 4M 40K –
SPDR PORTFOLIO S&P 500 VALUE ETF ETF 19M 384K –
LOEWS CORP COM Stock 308K 4K –
FIRST TRUST LOW DURATION OPPORTUNITIES ETF ETF 13M 262K –
ISHARES CHINA LARGE-CAP ETF ETF 457K 18K –
WW INTL INC COM Stock 23K 20K –
ISHARES MSCI EAFE ETF ETF 8M 103K –
APPLE INC COM Stock 1M 6K –
ISHARES RUSSELL 1000 VALUE ETF ETF 11M 61K –