PROSPECT FINANCIAL GROUP LLC
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About the firm
Prospect Financial Group LLC is a financial services firm providing comprehensive investment management and financial planning to clients in and outside of the Washington, D.C. area. The firm provides fee-only, fiduciary advice and manages custom investment portfolios spanning across several accounts. With a background in engineering and business analytics, the firm relies on detailed analysis, research-driven strategies, and transparent reporting.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Investment management (top-down, custom portfolios spanning multiple accounts including 401(k)s), financial planning (analyzing cash flows and goals in depth), and implementation support (evaluating alternatives and helping clients select cost-effective solutions).
Who they serve
Clients in and outside of the Washington, D.C. area who have built a nest egg and want financial security amid uncertain financial markets and life events.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 9 | $2.9M |
| High Net Worth Individuals | 39 | $202M |
1 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
1 advisor in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| $0 to $1,000,000 | 1.00% |
| $1,000,000 to $2,000,000 | 0.50% |
| $2,000,000 to $5,000,000 | 0.25% |
| $5,000,000 to $10,000,000 | 0.13% |
| Over $10,000,000 | 0.00% |
Data as of March 31, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. PROSPECT FINANCIAL GROUP LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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