# Prota Financial

> Prota Financial is an SEC-registered investment advisory firm in Houston, TX, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 26, 2026.

- CRD: 283776
- Filed as: PROTA FINANCIAL
- Legal name: Prota Financial, LLC
- Also doing business as: PROTA
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: February 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/283776
- AdvisorCensus page: https://advisorcensus.com/firm/prota-financial-houston-tx-283776

## Quick answers

**How is Prota Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Prota Financial reports these compensation arrangements: a percentage of assets under its management.

**How much does Prota Financial charge?**
Its Form ADV Part 2A brochure dated February 26, 2026 states: Up to $1,000,000: 1% a year; $1,000,000 to $3,000,000: 0.75% a year; Above $3,000,000: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Prota Financial located?**
Prota Financial's principal office is in Houston, TX, according to its Form ADV; the March 2026 filing also lists 17 other offices (Schedule D, Section 1.F).

**Is Prota Financial registered with the SEC or a state?**
Prota Financial is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 283776.

**How much does Prota Financial manage?**
Prota Financial reports $270,372,201 in regulatory assets under management in its Form ADV filing dated February 26, 2026 (100% discretionary).

**How have Prota Financial's assets and staff changed since 2022?**
In the Form ADV data for Prota Financial: Regulatory assets under management: $114,168,331 in the October 2022 data and $270,372,201 in the October 2026 data, up 137%. Total employees: 5 in October 2022 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Prota Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (588); high net worth individuals (85).

**Which custodians does Prota Financial use?**
Prota Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Prota Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/283776

**Does Prota Financial state an account minimum?**
Its Form ADV Part 2A brochure dated February 26, 2026 says: "Prota Financial does not impose a minimum account balance for the opening of an account with the Adviser." "We have no minimum account opening balance."

**What changed in Prota Financial's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $233,673,316 to $270,372,201 (+16%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated February 26, 2026)

- Up to $1,000,000: 1% a year
- $1,000,000 to $3,000,000: 0.75% a year
- Above $3,000,000: 0.5% a year

> Annual Management Fee Schedule (billed monthly) for all managed accounts custodied at Charles Schwab & Co., Inc. or other custodian holding discretionary assets: First $1,000,000 1.00 % Next $2,000,000 0.75 % Rest over $3,000,000 0.50 %

- Account minimum: None

> Prota Financial does not impose a minimum account balance for the opening of an account with the Adviser.

> We have no minimum account opening balance.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $270,372,201
- Discretionary: $270,372,201
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 588 | $121,141,356 |
| High net worth individuals | 85 | $148,841,212 |
| Corporations or other businesses not listed above | Fewer than 5 | $389,633 |

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

### Firm details
- Registered since: 2022 (4 years)
- Employees: 13 total, 13 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: LA, MA, NE, SC, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the March 2026 filing
- Austin, TX
- Bellevue, WA
- Belton, TX
- Bryan, TX
- Columbia, SC
- Greenville, SC
- Houston, TX
- Katy, TX
- Kirkland, WA
- League City, TX
- Monroe, LA
- Omaha, NE
- Pearland, TX
- Shreveport, LA
- Sugarland, TX
- The Woodlands, TX
- Waco, TX

### Websites listed on Form ADV (Item 1.I)
- protafinancial.com
- Facebook @PROTAFIN
- LinkedIn @prota-financial
- LinkedIn @adamleepatten
- LinkedIn @andrewedwards6
- LinkedIn @art91
- LinkedIn @brandonkrol1026
- LinkedIn @fernando-diaz-6267871
- LinkedIn @japan
- LinkedIn @jason-xu-cfp®-425461230
- LinkedIn @jeffrey-fisher1996
- LinkedIn @katie-morrison-025a69100
- LinkedIn @lindsey-elliff-657560a0
- LinkedIn @mark-jiro-31400789
- LinkedIn @mradulovich
- LinkedIn @taylor-drapela-b971b852
- X @ProtaFin

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $114,168,331 | 5 | May 17, 2022 |
| October 2023 | $127,669,314 | 12 | August 31, 2023 |
| October 2024 | $182,022,262 | 12 | August 22, 2024 |
| October 2025 | $233,673,316 | 12 | March 3, 2025 |
| October 2026 | $270,372,201 | 13 | February 26, 2026 |

Regulatory assets under management: $114,168,331 in the October 2022 data and $270,372,201 in the October 2026 data, up 137%.
Total employees: 5 in October 2022 and 13 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $233,673,316 to $270,372,201 (+16%).

### December 2025
- Employees performing advisory functions went from 12 to 13.
- Registered or notice-filed in MA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Prota Financial (CRD 283776): Form ADV filing data as of October 2026.