WESTFIELD FINANCIAL PLANNING
PROSPECT CAPITAL SERVICES, INC. Legal Name
Adviser information for WESTFIELD FINANCIAL PLANNING last updated from Form ADV on February 29th, 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 | New Jersey, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 686 | $178.6M |
| Non-Discretionary | 13 | $12.2M |
| Total | 699 | $190.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 98 | $38.0M |
| HNW Individuals | 56 | $144.7M |
| 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 | 5 | $2.8M |
| Charitable organizations | <5 | $5.3M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-111888 |
|---|---|
| SEC ERA File Number | 801-111888 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290102 |
| Legal Entity Identifier | None |
Principal Office
316 EAST BROAD STREETWESTFIELD
NJ
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 908-379-2706, Fax: None
Chief Compliance Officer
MARK FREDERICK SWINGLE
316 EAST BROAD STREET
WESTFIELD
NJ
United States
Tel:
908-379-2706
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 |
|---|---|---|---|---|---|
| MCCOURT, MARY CAYE | Individual | – | OWNER | 11/2017 | 25-50% |
| SWINGLE, MARK, FREDERICK | Individual | – | PRINCIPAL & CHIEF COMPLIANCE OFFICER | 12/2018 | 50-75% |
| SONG, DANIEL, M. | Individual | – | PARTNER | 01/2022 | 5-10% |