PROSPETTIVA FINANCIAL
PROSPETTIVA FINANCIAL LLC Legal Name
Adviser information for PROSPETTIVA FINANCIAL last updated from Form ADV on February 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 300 | $106.5M |
| Non-Discretionary | 0 | $0 |
| Total | 300 | $106.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 14 | $6.3M |
| HNW Individuals | 53 | $83.2M |
| 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 | $469,422 |
| Charitable organizations | <5 | $14.4M |
| State or municipal gov entities | <5 | $2.1M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-123729 |
|---|---|
| SEC ERA File Number | 801-123729 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148760 |
| Legal Entity Identifier | None |
Principal Office
22 BATTERY STREETSUITE 426
SAN FRANCISCO
CA
United States
Monday - Friday, 9-5PM
Tel: 415-362-8636, Fax: 415-362-8889
Chief Compliance Officer
SEAN ALLEN FLETCHER
COFOUNDER, PARTNER, AND FINANCIAL ADVISOR
22 BATTERY STREET
SUITE 426
SAN FRANCISCO
CA
United States
Tel:
(415) 362-8636 X240
Fax:
415-362-8889
S***@***********************M
(Full email address available in API data)
Regulatory Contact
HOLLY KINDEL
INVESTMENT ADVISER REPRESENTATIVE
22 BATTERY STREET
SUITE 426
SAN FRANCISCO
CA
United States
Tel:
(415) 362-8636 X230
Fax:
415-362-8889
H****@***********************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 |
|---|---|---|---|---|---|
| FLETCHER, SEAN, A | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | 10/2008 | > 75% |