Prota Financial, Llc
- Regulatory AUM
- $270M
- Discretionary
- $270M
- Clients
- 673
- Avg AUM / client
- $402K
- Accounts
- 1,808
- Employees
- 13
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 588 | $121M | 44.8% |
| High net worth individuals | 85 | $149M | 55.1% |
| Corporations and other businesses | Fewer than 5 clients | $390K | 0.14% |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mark Radulovich | Cco & Managing Member | May 2016 (10y) | 50% – 75% | |
| Bryan C Hays | Managing Member | Jul 2017 (9y) | 50% – 75% | |
| Fernando Diaz | Registered representative | Aug 2017 (9y) | ||
| Adam Lee Patten | Registered representative | Jan 2021 (6y) | ||
| Lindsey Renee Elliff | Registered representative | Jul 2021 (5y) | ||
| Andrew Reagan Taylor | Registered representative | Aug 2022 (4y) | ||
| Katherine Marie Morrison | Registered representative | Dec 2022 (4y) | ||
| Qingkun Xu | Registered representative | Dec 2022 (4y) | ||
| Jeffrey Fisher | Registered representative | Feb 2023 (4y) | ||
| Mark Anthony Llerena Jiro | Registered representative | Feb 2023 (3y) | ||
| Andrew Paul Edwards | Registered representative | Jul 2023 (3y) | ||
| Taylor Beth Wickman | Registered representative | Oct 2023 (3y) | ||
| Brandon Krol | Registered representative | Dec 2025 (1y) | ||
| Crystal Lena Aldeano | Registered representative | Jun 2026 (0y) | ||
| Jonathan Wesley Garrett | Registered representative | Jul 2026 (0y) |
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) | 02/26/2026 | 934 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
Reported custodians
- Charles Schwab & Co. $270M (100% of AUM) Feb 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: Feb 26, 2026.
View current Form ADV (SEC/IAPD) ↗