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PROSPETTIVA FINANCIAL LLC

dba PROSPETTIVA FINANCIAL · CRD 148760 · Registered Investment Adviser

PROSPETTIVA FINANCIAL LLC is a Registered Investment Adviser headquartered in SAN FRANCISCO, CA. The firm reports $128,665,439 in regulatory assets under management across 308 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$128,665,439
Non-discretionary$0
Total RAUM$128,665,439
Accounts308

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 148760. adviserinfo.sec.gov/firm/summary/148760.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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