PC
Prism Capital Management, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 144989
·
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ADV data as of Aug 07, 2026
- Regulatory AUM
- $6.0M
- Discretionary
- $6.0M
- Clients
- 5
- Avg AUM / client
- $1.2M
- Accounts
- 10
- Employees
- 1
AUM over time
$6.0M
$6.0M
Jul 14, 2026
Aug 7, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5 | $6.0M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John William Pfenenger | Registered representative | Nov 2007 (19y) |
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) | 07/14/2026 | 984 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 07, 2026.
View current Form ADV (SEC/IAPD) ↗