PROSPECT FINANCIAL SERVICES LLC

CRD

314154

SEC file #

801-122193

EIN

113478882

DBA names

—

Economics

AUM

$431.0M

AUM band

$100M-$500M

AUM trajectory

'22 · $280.4M

'23 · $226.3M

'25 · $418.1M

'26 · $431.0M

'22'26

$280.4M → $431.0M▲ +54%

sec adv history

Client mix

Individuals Other	446
Pension Profit Sharing Plans	77
Individuals High Net Worth	74
Corporations	16

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'22 · 6 advisors

'23 · 6 advisors

'25 · 8 advisors

'26 · 9 advisors

'22'26

6 advisors → 9 advisors▲ +50%

sec adv history

Primary office

MELVILLE NY

Branches

—

Custodian & Brokerage

Primary custodian

LPL Financiallow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

03/09/2026

ADV-W filed at

—

Website

profinserv.net

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ROONEY, SEAN, PETER

Top Owner Pct

62.5

Top Owner Entity Kind

Owner Count

Control Persons

ROONEY, SEAN, PETER

NATHAN, JAY, L

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

PROFINSERV.NET

Rdap Domain Creation Date

2008-07-03T16:16:21Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

Advanced Internet Technologies, Inc. (AIT)

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Form 5500 Plan Count

Form 5500 Total Compensation

33,090

Form 5500 Compensation Trajectory 3y

2025

33,090

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

33,090

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0002012519

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2024-02-20

Edgar Last Filing Date

2026-04-24

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-24

Accession0001951757-26-000734

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Lpl Financial	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

445 BROAD HOLLOW ROADSTE CL-43MELVILLE, NY 11747

Business

445 BROAD HOLLOW ROADSTE CL-43MELVILLE, NY 11747

Edgar EIN

113478882

Edgar Recent Filings

13F-HR2026-04-24 · 0001951757-26-000734

13F-HR2026-02-06 · 0001951757-26-000392

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2028-07-03T16:16:21Z

Rdap Domain Last Changed

2024-07-29T16:28:16Z

Rdap Nameservers

Ns0.nameservices.netNs1.nameservices.net

Rdap Secure Dns Enabled

Rdap Status

Active

Top Owner CRD

2635431

Trust Company Affiliate