PRISM PLANNING PARTNERS
PRISM PLANNING PARTNERS, LLC Legal Name
Adviser information for PRISM PLANNING PARTNERS last updated from Form ADV on March 7th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 292 | $163.9M |
| Non-Discretionary | 0 | $0 |
| Total | 292 | $163.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 56 | $12.3M |
| HNW Individuals | 37 | $151.6M |
| 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 | 3 |
| 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 businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-123514 |
|---|---|
| SEC ERA File Number | 801-123514 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290485 |
| Legal Entity Identifier | None |
Principal Office
321 S. MILWAUKEE AVENUELIBERTYVILLE
IL
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: (847) 250-9870, Fax: None
Chief Compliance Officer
NICOLE SULLIVAN
CO-FOUNDER
321 S. MILWAUKEE AVENUE
LIBERTYVILLE
IL
United States
Tel:
(847) 250-9870
N*****@************************M
(Full email address available in API data)
Regulatory Contact
RONALD A. BERNSTEIN
MANAGING MEMBER
321 S. MILWAUKEE AVENUE
LIBERTYVILLE
IL
United States
Tel:
(847) 250-9870
R**@************************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 |
|---|---|---|---|---|---|
| BERNSTEIN, RONALD, A | Individual | – | MANAGING MEMBER | 10/2017 | 50-75% |
| SULLIVAN, NICOLE, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER, CO-FOUNDER | 10/2017 | 25-50% |
| PETERS, DANIEL, WILLIAM | Individual | – | DIRECTOR OF OPERATIONS / OWNER | 01/2023 | 5-10% |