Proflex Finance
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$21,704,219
This total excludes 4 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
46
11% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
46
HighAverage account size
$471,831
About
Proflex Finance LLC provides discretionary portfolio management to individuals, high‑net‑worth clients, corporations or business entities, and pooled investment vehicles, with each client receiving a written Investment Policy Statement and ongoing portfolio monitoring. The firm also acts as manager and adviser to affiliated private funds, specifically Embark SPV I, LLC and Embark SPV II, LLC.
Portfolios are implemented using a mix of equities, ETFs, private equity interests, commodities and derivatives, and PFL employs charting, fundamental, quantitative and technical analysis to inform trading decisions. The firm describes two primary strategies: a diversified, options‑focused strategy that uses proprietary models and an Income+ strategy offered only to accredited or high‑net‑worth clients that combines concentrated equity positions with covered‑call, cash‑secured‑put and hedging overlays.
What distinguishes Proflex from many solo independent advisers is its role as a fund sponsor/manager and private fund adviser (via Embark MGMT LLC), including an affiliation where supervised persons may receive performance‑based allocations from those funds — a conflict the brochure discloses and limits to Qualified Clients. Its active use of options, short sales, margin and pooled private vehicles, together with strategy eligibility limits for the Income+ approach, sets its business model apart from typical independent advisers.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Concentrated stock management
Private / alternative investments
Occupation focus
Executive
Fee options
$0+: Up to 3.00% (Diversified Portfolio) $0+: Up to 5.00% (Income+ Options Overlay Portfolio) $0+: Up to 3.00% (Private Funds)
Main office location
Proflex Finance
15732 Los Gatos Blvd, Suite 3036
Los Gatos CA 95032, United States
Number of offices
1
Most active in
Proflex Finance has reported serving >5 clients in these states in the last 12 months.
California
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:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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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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