P
Prosper Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$97,101,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
48
73% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
48
HighAverage account size
$2,022,938
About
The firm provides financial planning and investment management to individuals, estates, trusts and a donor-advised fund, including management of two accounts for current individual clients. Financial planning is typically ongoing and adjusted as clients approach goals; the firm does not produce formal written plans by default but will provide short written summaries upon request.
Investment strategies are tailored to each client’s situation and risk tolerance, using both fundamental and technical analysis and common practices such as dollar-cost averaging, periodic rebalancing, and the use of low-cost mutual funds and ETFs for diversification. The firm evaluates a wide range of instruments — including individual stocks, bonds, options, REITs and MLPs — and may manage discretionary accounts custodied at Charles Schwab or my529.
A distinctive aspect of the firm is that its principal is a practicing attorney and tax return preparer affiliated with a law firm and devotes a material portion of time to legal practice, a combination that is uncommon among peers. The brochure also discloses the principal’s passive non-public investments and an active business interest and notes specific safeguards (including disclosure, no advisory fee on such investments, and advice to seek separate counsel) before recommending any private investment to clients.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Life insurance needs analysis
Disability insurance
Active portfolio management
Real estate investing
Fee options
Flat annual fees for investment management and related financial planning services typically ranging from $2,000 to $10,000 per year, paid quarterly
$0 - $2,000,000: 0.50% (buy and hold investing with annual rebalancing) $2,000,001 - $4,000,000: 0.40% (buy and hold investing with annual rebalancing) $4,000,001+: 0.30% (buy and hold investing with annual rebalancing) $0 - $2,000,000: 0.70% (tactical asset allocation or strategies requiring quarterly or monthly reviews) $2,000,001 - $4,000,000: 0.60% (tactical asset allocation or strategies requiring quarterly or monthly reviews) $4,000,001+: 0.50% (tactical asset allocation or strategies requiring quarterly or monthly reviews) $0 - $2,000,000: 1.00% (individual security selection or strategies requiring more frequent than monthly reviews) $2,000,001 - $4,000,000: 0.90% (individual security selection or strategies requiring more frequent than monthly reviews) $4,000,001+: 0.80% (individual security selection or strategies requiring more frequent than monthly reviews)
$425.00 per hour for financial planning and/or investment management advice on a one-time basis
Fee-only: Hourly rate of $425.00 for one-time financial planning or investment management advice; flat annual fees typically ranging from $2,000 to $10,000 for investment management and related financial planning services
Main office location
Prosper Financial
Colorado Springs CO, United States
Number of offices
1
Most active in
Prosper Financial has reported serving >5 clients in these states in the last 12 months.
Colorado · Kentucky · Tennessee
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:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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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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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