Prism Capital Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$49,617,364
This total excludes 12 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
127
9% high-net worth
Total advisors
1
of 4 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
127
Average account size
$390,688
About
Prism Capital Management is a supported, single-advisor registered investment adviser that provides discretionary portfolio management and retirement-plan consulting to individuals (including high-net-worth clients), partnerships, corporations, and other business entities. Services include ongoing account monitoring, ad-hoc financial guidance on budgeting and insurance, and recommendations for held-away accounts and retirement rollovers; the firm typically requires a $50,000 minimum to begin a portfolio management relationship.
The firm develops personalized asset-allocation plans and uses a mix of fundamental, technical, and cyclical analysis to select mutual funds, ETFs, REITs, individual equities, fixed income, and derivative instruments. Prism implements both long-term buy-and-hold and shorter-term trading strategies—disclosing the use of options and short sales where appropriate—and generally manages client assets on a discretionary basis while recommending Charles Schwab for custody and execution.
A noteworthy feature is an affiliation with an accounting business, Prism Tax and Accounting Services, LLC, which the firm’s principal oversees for approximately 20 hours per month; the brochure discloses this relationship and the potential referral conflict, and states clients may seek other tax providers. The firm is relatively small in scale (managing about $49.6 million in total client assets split between discretionary and non‑discretionary accounts) and also provides formal retirement-plan consulting and written rollover disclosures to address related conflicts of interest.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
Cash flow / budgeting
General retirement planning
Fee options
$10,000 - $30,000: $200 fixed fee $30,001 - $100,000: 1.99% $100,001 - $250,000: 1.75% $250,001 - $500,000: 1.50% $500,001 - $1,000,000: 1.25% $1,000,001 - $3,000,000: 0.70% $3,000,001 - $5,000,000: 0.50% $5,000,001+: 0.30%
Account minimum: $50,000 Minimum fee: $200 annual fee for accounts with assets $10,000 to $30,000 Fee-only: Annual fees ranging from 0.50% to 1.99% based on tiered schedule; no commissions or other compensation received.
Main office location
Prism Capital Management
1912 S Burlington Blvd., Suite A
Burlington WA 98233, United States
Number of offices
1
Most active in
Prism Capital Management has reported serving >5 clients in these states in the last 12 months.
Washington
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 active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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
Quick links
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