Prospect Financial Services LLC

Registered adviser

CIK

2012519

Location

MELVILLE, NY

Portfolio Value

Small $193,917,029

Diversification

Diversified

Filing Date

Global Rank

#6,533 / 8,814 ▲ 186

Top Industry

Internet Content & Information 21.6%

Period ended 4 months ago

Filed Aug 6, 2026 · 3mo

11 quarters · since Dec 2023

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 314154

Roster of Oct 1, 2026

Regulatory AUM

$430,992,588

Main clients

Individuals and high net worth (77% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$430,992,588	Individuals and high net worth (77%)
Feb 2025 to Mar 2026	$418,143,884	Individuals and high net worth (85%)
Mar 2024 to Jan 2025	$300,770,103	Individuals and high net worth (88%)
May 2023 to Feb 2024	$228,707,659	Individuals and high net worth (100%)
Apr 2023	$228,707,659	Individuals and high net worth (100%)
Apr 2022 to Mar 2023	$226,281,999	Individuals and high net worth (100%)

2 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Diversified active

Top 10 weight 57.5%, 22.4 effective positions, active share 71.8% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

18.2% over the last four quarters (under 30%)

Horizon

Medium horizon

Value-weighted holding period 9.7 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 71.8%; sector active share 50.4% against the combined 13F book's sector weights.

Over time 11 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

115 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

11.5%

+0.7 pts

Top 5

39.0%

+1.4 pts

Top 10

58.5%

+0.9 pts

HHI

461

Diversified+13

Portfolio Trend

11 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	51.2%	$99,352,279	54
Technology	14.0%	$27,212,067	17
Communication Services	11.6%	$22,468,976	8
Real Estate	7.4%	$14,429,075	2
Industrials	5.7%	$11,009,348	6
Consumer Cyclical	4.6%	$8,974,963	8
Energy	2.3%	$4,544,653	6
Financial Services	1.4%	$2,659,810	6
Healthcare	1.3%	$2,487,524	5
Consumer Defensive	0.2%	$477,327	2
Utilities	0.2%	$301,007	1

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
VUG	VANGUARD GROWTH INDEX FUND	+39,066	47,090	$4,056,332
—		+23,504	150,149	$11,298,712
SCHG	Schwab U.S. Large-Cap Growth ETF	+22,396	94,233	$3,188,844
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	+21,815	40,780	$2,062,652
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	+14,577	87,446	$7,227,411
SCHD	Schwab U.S. Dividend Equity ETF	+11,716	56,922	$1,804,996
IMCG	iShares Morningstar Mid-Cap Growth ETF	+8,937	46,859	$4,606,239
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	+7,886	25,846	$4,084,443
FDVV	Fidelity High Dividend ETF	+5,711	27,225	$1,641,395
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	+5,306	23,956	$3,800,858
DGRO	iShares Core Dividend Growth ETF	+4,319	11,912	$902,810
PFE	Pfizer Inc	+3,505	10,711	$257,920
IWF	iShares Russell 1000 Growth ETF	+2,352	3,126	$388,155
VB	Vanguard Index Funds	+2,271	3,748	$1,136,093
VOO	VANGUARD 500 INDEX FUND	+2,091	14,692	$10,090,612
SPYV	State Street(R) SPDR(R) Portfolio S&P 500(R) Value ETF	+1,786	12,451	$756,896
VBR	VANGUARD SMALL-CAP VALUE INDEX FUND	+1,411	3,446	$837,343
QQQ	Invesco Qqq Trust, Series 1	+1,169	12,594	$9,274,221
SPYM	State Street(R) SPDR(R) Portfolio S&P 500(R) ETF	+1,070	27,762	$2,439,724
MUB	iShares National Muni Bond ETF	+1,000	3,250	$349,765
JIVE	JPMorgan International Value ETF	+975	5,461	$502,160
IUSV	iShares Core S&P U.S. Value ETF	+805	6,184	$681,167
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	+696	6,322	$499,627
AMD	Advanced Micro Devices Inc	+681	2,142	$1,244,309
ORCL	Oracle Corp	+646	16,847	$2,468,927
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
VNO	Vornado Realty Trust	−24,223	45,991	$1,807,446
SLG	Sl Green Realty Corp	−8,423	243,802	$12,621,629
PAA	Plains All American Pipeline LP	−4,313	46,634	$1,038,072
META	Meta Platforms, Inc.	−2,156	1,900	$1,070,251
PFFD	Global X U.S. Preferred ETF	−2,000	20,255	$0
VZ	Verizon Communications Inc	−1,923	20,407	$864,032
FPE	First Trust Preferred Securities and Income ETF	−1,769	22,541	$403,033
GOOG	Alphabet Inc.	−1,650	32,765	$11,576,857
ET	Energy Transfer LP	−1,239	163,930	$0
BA	Boeing Co	−1,138	41,428	$8,967,919
PYPL	PayPal Holdings, Inc.	−1,138	8,644	$373,247
PLTR	Palantir Technologies Inc.	−1,105	31,064	$3,624,236
BP	Bp PLC	−1,038	11,470	$423,816
IBIT	iShares Bitcoin Trust ETF	−843	33,560	$1,117,212
NVDA	Nvidia Corp	−676	34,467	$6,896,502
AAPL	Apple Inc.	−651	17,467	$5,054,251
IJR	iShares Core S&P Small-Cap ETF	−562	7,400	$1,097,494
INDA	iShares MSCI India ETF	−441	6,968	$344,149
NFLX	Netflix Inc	−435	8,991	$641,957
LLY	ELI LILLY & Co	−352	1,033	$1,239,011
PFF	iShares Preferred and Income Securities ETF	−334	19,529	$595,439
GOOGL	Alphabet Inc.	−303	19,688	$7,035,900
FHLC	Fidelity MSCI Health Care Index ETF	−290	18,767	$1,449,750
IVV	iShares Core S&P 500 ETF	−281	579	$433,607
UNH	Unitedhealth Group Inc	−221	1,658	$689,114
No positions match the current search.

New Positions

Positions the filer opened this quarter

15 positions

Ticker	Company	Shares	Value
MUNY	Vanguard New York Tax-Exempt Bond ETF	9,234	$960,336
QBTS	D-Wave Quantum Inc.	13,710	$328,902
—		2,295	$303,444
NVO	Novo Nordisk A S	5,843	$280,113
RDVY	First Trust Rising Dividend Achievers ETF	3,362	$272,523
SPCX	Space Exploration Technologies Corp	1,471	$251,335
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	2,842	$249,840
LRCX	Lam Research Corp	570	$246,998
RDVI	FT Vest Rising Dividend Achievers Target Income ETF	7,966	$234,200
MU	Micron Technology Inc	197	$227,395
—		2,485	$223,277
CAT	Caterpillar Inc	209	$222,564
ASML	Asml Holding NV	111	$220,827
ANET	Arista Networks, Inc.	1,259	$213,878
PPLT	abrdn Platinum ETF Trust	11,100	$156,843
No positions match the current search.

Sold Out

Positions the filer fully exited

4 positions

Ticker	Company	Shares	Value
EPI	WisdomTree India Earnings Fund	8,684	$354,307
MSTR	Strategy Inc	2,461	$307,132
MA	Mastercard Inc	457	$228,344
GLD	Spdr Gold Trust	469	$201,806
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

115 tracked positions · $193,917,029 total · filing declares 115 positions · $197,430,919 · as of Jun 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 115 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
SLG	Sl Green Realty Corp Real Estate	Reduced	243,802	-8,423	$12,621,629	+35.5%	11	before history	6.51%
GOOG	Alphabet Inc. Communication Services	Reduced	32,765	-1,650	$11,576,857	+17.3%	11	before history	5.97%
		Added	150,149	+23,504	$11,298,712	+19.4%	11	before history	5.83%
VOO	VANGUARD 500 INDEX FUND	Added	14,692	+2,091	$10,090,612	+34.0%	11	before history	5.20%
QQQ	Invesco Qqq Trust, Series 1	Added	12,594	+1,169	$9,274,221	+40.6%	11	before history	4.78%
BA	Boeing Co Industrials	Reduced	41,428	-1,138	$8,967,919	+5.9%	11	before history	4.62%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Added	87,446	+14,577	$7,227,411	+19.9%	11	before history	3.73%
GOOGL	Alphabet Inc. Communication Services	Reduced	19,688	-303	$7,035,900	+22.4%	11	before history	3.63%
NVDA	Nvidia Corp Technology	Reduced	34,467	-676	$6,896,502	+12.5%	11	before history	3.56%
VTV	VANGUARD VALUE INDEX FUND	Added	26,326	+414	$5,737,225	+12.9%	11	before history	2.96%
AAPL	Apple Inc. Technology	Reduced	17,467	-651	$5,054,251	+9.9%	11	before history	2.61%
VIG	Vanguard Specialized Funds	Reduced	20,830	-28	$4,928,794	+9.9%	11	before history	2.54%
IMCG	iShares Morningstar Mid-Cap Growth ETF	Added	46,859	+8,937	$4,606,239	+54.2%	11	before history	2.38%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Added	25,846	+7,886	$4,084,443	+53.6%	6	$143.06	2.11%
VUG	VANGUARD GROWTH INDEX FUND	Added	47,090	+39,066	$4,056,332	+15.7%	11	before history	2.09%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Added	23,956	+5,306	$3,800,858	+39.0%	11	before history	1.96%
PLTR	Palantir Technologies Inc. Technology	Reduced	31,064	-1,105	$3,624,236	−23.0%	11	before history	1.87%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	13,785	-65	$3,285,516	+13.9%	11	before history	1.69%
SCHG	Schwab U.S. Large-Cap Growth ETF	Added	94,233	+22,396	$3,188,844	+52.4%	6	$29.19	1.64%
ORCL	Oracle Corp Technology	Added	16,847	+646	$2,468,927	+3.6%	4	$192.41	1.27%
SPYM	State Street(R) SPDR(R) Portfolio S&P 500(R) ETF	Added	27,762	+1,070	$2,439,724	+19.4%	6	$68.62	1.26%
TSLA	Tesla, Inc. Consumer Cyclical	Added	5,657	+38	$2,379,334	+13.9%	11	before history	1.23%
XOM	ExxonMobil Holdings Corp Energy	Reduced	16,619	-156	$2,272,149	−20.2%	11	before history	1.17%
VTEB	VANGUARD TAX-EXEMPT BOND INDEX FUND	Added	40,780	+21,815	$2,062,652	+118.0%	11	before history	1.06%
VNO	Vornado Realty Trust Real Estate	Reduced	45,991	-24,223	$1,807,446	−1.0%	11	before history	0.93%
SCHD	Schwab U.S. Dividend Equity ETF	Added	56,922	+11,716	$1,804,996	+30.1%	11	before history	0.93%
MSFT	Microsoft Corp Technology	Added	4,711	+264	$1,757,297	+6.8%	11	before history	0.91%
FDVV	Fidelity High Dividend ETF	Added	27,225	+5,711	$1,641,395	+38.1%	3	$56.89	0.85%
FHLC	Fidelity MSCI Health Care Index ETF	Reduced	18,767	-290	$1,449,750	+8.1%	8	$70.05	0.75%
CAVA	Cava Group, Inc. Consumer Cyclical	Reduced	17,170	-32	$1,347,501	−3.2%	6	$78.55	0.69%
AMD	Advanced Micro Devices Inc Technology	Added	2,142	+681	$1,244,309	+318.7%	3	$282.63	0.64%
LLY	ELI LILLY & Co Healthcare	Reduced	1,033	-352	$1,239,011	−2.7%	11	before history	0.64%
CRWD	CrowdStrike Holdings, Inc. Technology	Added	1,590	+45	$1,213,392	+101.2%	11	before history	0.63%
VB	Vanguard Index Funds	Added	3,748	+2,271	$1,136,093	+193.7%	6	unpriced	0.59%
IBIT	iShares Bitcoin Trust ETF	Reduced	33,560	-843	$1,117,212	−15.5%	6	$61.43	0.58%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Added	2,325	+291	$1,110,350	+61.5%	5	$245.66	0.57%
SPY	Spdr S&P 500 ETF Trust	Added	1,486	+5	$1,109,700	+15.2%	11	before history	0.57%
IJR	iShares Core S&P Small-Cap ETF	Reduced	7,400	-562	$1,097,494	+10.9%	11	before history	0.57%
IJT	iShares S&P Small-Cap 600 Growth ETF	Added	6,053	+26	$1,081,065	+24.0%	10	unpriced	0.56%
META	Meta Platforms, Inc. Communication Services	Reduced	1,900	-2,156	$1,070,251	−53.9%	11	before history	0.55%
PAA	Plains All American Pipeline LP Energy	Reduced	46,634	-4,313	$1,038,072	−8.8%	11	before history	0.54%
AVGO	Broadcom Inc. Technology	Added	2,710	+219	$1,023,702	+32.8%	8	unpriced	0.53%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Added	5,077	+150	$967,270	+47.7%	11	before history	0.50%
MUNY	Vanguard New York Tax-Exempt Bond ETF	NEW	9,234	NEW	$960,336	NEW	1	$103.20	0.50%
		Added	3,281	+73	$953,524	+19.4%	7	$230.28	0.49%
DXJ	WisdomTree Japan Hedged Equity Fund	Added	5,235	+446	$908,377	+19.6%	8	$116.07	0.47%
DGRO	iShares Core Dividend Growth ETF	Added	11,912	+4,319	$902,810	+69.4%	4	unpriced	0.47%
VZ	Verizon Communications Inc Communication Services	Reduced	20,407	-1,923	$864,032	−22.9%	11	before history	0.45%
VBR	VANGUARD SMALL-CAP VALUE INDEX FUND	Added	3,446	+1,411	$837,343	+89.4%	4	unpriced	0.43%
MRVL	Marvell Technology, Inc. Technology	Added	2,683	+359	$799,238	+247.2%	3	$102.65	0.41%

Showing the top 50 of 115 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.