PRESPER FINANCIAL ARCHITECTS, LLC
Adviser information for PRESPER FINANCIAL ARCHITECTS, LLC last updated from Form ADV on March 22nd, 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 | Ohio, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 1,898 | $288.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,898 | $288.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 583 | $235.0M |
| HNW Individuals | 22 | $49.9M |
| 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 | $4.0M |
| 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 | 30 |
| 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 businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 220.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PRESPER FINANCIAL ARCHITECTS, LLC WRAP PROGRAM | PRESPER FINANCIAL ARCHITECTS, LLC |
Identifiers
| SEC RIA File Number | 801-113773 |
|---|---|
| SEC ERA File Number | 801-113773 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297538 |
| Legal Entity Identifier | None |
Principal Office
441 WOLF LEDGES PARKWAYSUITE 103
AKRON
OH
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 330-253-6000, Fax: 330-374-1161
Chief Compliance Officer
LISA LAFOND
5 INDEPENDENCE WAY
SUITE 300
PRINCETON
NJ
United States
Tel:
6463953902
L******@************M
(Full email address available in API data)
Regulatory Contact
THOMAS PRESPER
PRINCIPAL/OWNER
441 WOLF LEDGES PARKWAY
SUITE 103
AKRON
OH
United States
Tel:
330-253-6000
T**@*******************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 |
|---|---|---|---|---|---|
| PRESPER, THOMAS, MICHAEL | Individual | – | MANAGING MEMBER | 06/2018 | 50-75% |
| PRESPER, SONYA, DENISE | Individual | – | MEMBER | 06/2018 | 50-75% |
| LaFond, Lisa, Marie | Individual | – | CCO | 10/2022 | < 5% |