PRISM FINANCIAL STRATEGIES, LLC
Adviser information for PRISM FINANCIAL STRATEGIES, LLC last updated from Form ADV on February 17th, 2023. 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 |
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Fiscal Year End | DECEMBER |
Legal Location | Colorado, United States |
Employees
Total Number of Employees | 8 |
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Investment Advisory/Research | 5 |
Registered Broker-Dealer Representatives | 1 |
Registered State Investment Advisers | 7 |
Licensed Agents of an Insurance Company | 4 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 732 | $173.8M |
Non-Discretionary | 6 | $22.1M |
Total | 738 | $195.9M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 222 | $54.2M |
HNW Individuals | 61 | $113.4M |
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 | 6 | $22.1M |
Charitable organizations | 6 | $5.0M |
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 | <5 | $1.2M |
Other | 0 | $0 |
Type | Number |
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No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 251-500 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING |
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Compensation | % of AUMHourly chargesFixed fees |
Identifiers
SEC RIA File Number | 801-118925 |
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SEC ERA File Number | 801-118925 |
SEC CIK Numbers | None |
SEC CRD Numbers | 289033 |
Legal Entity Identifier | None |
Principal Office
333 W. HAMPDEN AVE.SUITE 605
ENGLEWOOD
CO
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 720-458-6841, Fax: None
Chief Compliance Officer
JEFFREY ENGELMAN
333 W. HAMPDEN AVE.
SUITE 605
ENGLEWOOD
CO
United States
Tel:
720-458-6841
J***@***************************M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
MAASKE, ERIC, DAVID | Individual | – | MANAGING MEMBER | 06/2017 | 10-25% |
ENGELMAN, JEFFREY, GENE | Individual | – | MANAGING MEMBER, CCO | 06/2017 | > 75% |