Prestige Wealth Management Group, Llc
- Regulatory AUM
- $666M
- Discretionary
- $666M
- Clients
- 440
- Avg AUM / client
- $1.5M
- Accounts
- 1,366
- Employees
- 13
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 258 | $105M | 15.7% |
| High net worth individuals | 182 | $562M | 84.3% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roy Evans Williams | Managing Member, President, Ceo, Chief Compliance Officer | Chartered Financial Consultant | Mar 1995 (31y) | 75% or more |
| Spivack, Howard, Jeffrey | Director Of Financial Planning | Mar 2024 (2y) | Less than 5% | |
| John C Deangelo | Registered representative | CFP | Jul 2012 (14y) | |
| Paul Romano Esposito | Registered representative | CFP CFA | Apr 2018 (8y) | |
| Nathaniel Paul Hodgson | Registered representative | Sep 2018 (8y) | ||
| Michael Louis Williams | Registered representative | CFP | Dec 2018 (8y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/10/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: MAKEFIELD WEALTH MANAGEMENT AND HOWARD JEFFREY SPIVACK FAILED TO FILE WITH THE DEPARTMENT A BALANCE SHEET, PREPARED IN ACCORDANCE WITH GENERALLY ACCEPTED PRINCIPLES, WITHIN 120 DAYS OF MAKEFIELD WEALTH MANAGEMENT'S FISCAL YEAR END. Status: Final Sanction Detail: PAID ADMINSTRATIVE FINE. Summary: MR. SPIVACK DID NOT MEET AN ANNUAL FINANCIAL DISCLOSURE REQUIREMENT.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $666M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 10, 2026.
View current Form ADV (SEC/IAPD) ↗