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Prospect Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$26,000,000
Total clients
5
80% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
5
Average account size
$5,200,000
About
Prospect Advisors provides discretionary portfolio management and tailored investment advice to a mix of individuals, high‑net‑worth clients, pension and profit‑sharing plans, trusts, estates, charitable organizations, corporations and other business entities. The firm also offers investment research and model‑portfolio services to other registered investment advisers and hedge fund managers.
The firm’s investment process is grounded in fundamental analysis and is implemented across a wide set of strategies — including long‑ and short‑term equity positions, trading, options, margin, derivatives and alternative investments — that are selected to match each client’s stated objectives and risk tolerance. Prospect develops individualized investment policies through client discussions, conducts periodic reviews, and manages accounts on a discretionary basis while permitting client‑imposed restrictions when practicable.
What distinguishes Prospect from many similarly sized independent advisers is its combination of institutional client relationships and a commercial research offering to other investment firms, an uncommon mix for a small advisory practice. The firm operates under a formal Code of Ethics, reports account activity through independent custodians, and its principal holds the CFA designation.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Active portfolio management
Fee options
Investment research services charged as an annual fixed fee, typically ranging from $10,000 to $100,000.
Annual fee up to 1.70% of assets under management, charged quarterly in advance.
Account minimum: No minimum asset or fee requirement for managing client accounts.
Main office location
Prospect Advisors, LLC
Stamford CT, United States
Number of offices
1
Most active in
Prospect Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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