Prospect Financial Services Llc
- Regulatory AUM
- $431M
- Discretionary
- $431M
- Clients
- 613
- Avg AUM / client
- $703K
- Accounts
- 1,156
- Employees
- 12
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 446 | $120M | 27.9% |
| High net worth individuals | 74 | $210M | 48.7% |
| Pension and profit sharing plans | 77 | $98.8M | 22.9% |
| Corporations and other businesses | 16 | $2.3M | 0.52% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Selfhelp Community Services, Inc. 403(b) Plan Selfhelp Community Services, Inc. | 2024 |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Fairbrother, Michael, Frances | Owner | Jul 2021 (5y) | Less than 5% | |
| Jay L Nathan | Partner | Jul 2021 (5y) | 25% – 50% | |
| Sean Peter Rooney | Managing Partner And Chief Compliance Officer | Jul 2021 (5y) | 50% – 75% | |
| Sgueglia, Anthony, Carmine | Owner | Jul 2021 (5y) | 10% – 25% | |
| David Frank Gerken | Registered representative | Dec 2021 (5y) | ||
| Michael Allan Goldfeder | Registered representative | CFP | Dec 2021 (5y) | |
| Lee Edward Kilbrith | Registered representative | Personal Financial Specialist | Jan 2023 (4y) | |
| Mark Steven Rathjen | Registered representative | Feb 2023 (4y) | ||
| Neal D O Sullivan | Registered representative | Aug 2024 (2y) | ||
| Aidan James Rooney | Registered representative | Jan 2026 (1y) | ||
| Wange Liu | Registered representative | Apr 2026 (0y) |
Undisclosed: 0% – 15% 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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Selfhelp Community Services, Inc. 403(b) Plan | Selfhelp Community Services, Inc. | 1,846 | $14.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 987 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- LPL Financial $431M (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 09, 2026.
View current Form ADV (SEC/IAPD) ↗