# Prospect Advisors, LLC

> Prospect Advisors, LLC is a state-registered investment advisory firm, registered since 2010, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated November 4, 2024.

- CRD: 155337
- Filed as: PROSPECT ADVISORS, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Connecticut
- Filing period: October 2026
- Form ADV filing dated: November 4, 2024
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/155337
- AdvisorCensus page: https://advisorcensus.com/firm/prospect-advisors-llc-155337

## Quick answers

**How is Prospect Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Prospect Advisors, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Prospect Advisors, LLC registered with the SEC or a state?**
Prospect Advisors, LLC is a state-registered investment advisory firm, registered since 2010. Status as filed: APPROVED. CRD 155337.

**How much does Prospect Advisors, LLC manage?**
Prospect Advisors, LLC reports $26,000,000 in regulatory assets under management in its Form ADV filing dated November 4, 2024 (100% discretionary).

**What types of clients does Prospect Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (4); individuals (other than high net worth individuals) (1).

**Does Prospect Advisors, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/155337

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $26,000,000
- Discretionary: $26,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1 | $25,300,000 |
| High net worth individuals | 4 | $700,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2010 (15 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Prospect Advisors, LLC (CRD 155337): Form ADV filing data as of October 2026.