PRISM FINANCIAL GROUP, L.L.C.
Adviser information for PRISM FINANCIAL GROUP, L.L.C. last updated from Form ADV on March 18th, 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 | Kansas, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,294 | $1.4B |
| Non-Discretionary | 85 | $111.1M |
| Total | 2,379 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 359 | $74.7M |
| HNW Individuals | 315 | $1.1B |
| 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 | 37 | $148.0M |
| Charitable organizations | 13 | $6.7M |
| 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 | 93 | $108.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-61646 |
|---|---|
| SEC ERA File Number | 801-61646 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112315 |
| Legal Entity Identifier | None |
Principal Office
7101 COLLEGE BLVD. SUITE 900OVERLAND PARK
KS
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 913-345-1444, Fax: 913-663-1444
Chief Compliance Officer
THERESA SHMIDL
CHIEF COMPLIANCE OFFICER
7101 COLLEGE BLVD. SUITE 900
OVERLAND PARK
KS
United States
Tel:
913-345-1444
Fax:
913-663-1444
T******@**********M
(Full email address available in API data)
Regulatory Contact
TIM SHMIDL
MANAGING MEMBER
7101 COLLEGE BLVD. STE 900
OVERLAND PARK
KS
United States
Tel:
913-345-1444
Fax:
913-663-1444
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 |
|---|---|---|---|---|---|
| SHMIDL, TIMOTHY, BRIAN | Individual | – | OWNER | 04/1999 | 50-75% |
| SHMIDL, THERESA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2004 | < 5% |
| MH CAPITAL, LLC | Domestic Entity | – | OWNER | 04/1999 | 25-50% |