Prestige Wealth Management Group provides financial planning, portfolio management for individuals and small businesses, selecting other managers, estate planning, insurance, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Prestige Wealth Management Group reports 440 clients. They include 258 individual clients and 182 high-net-worth individuals. Of its assets, 100.0% ($666M across 1,366 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $174M. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 59% | 16% |
| High-net-worth individuals | 41% | 84% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 258 | $105M | 15.7% | $406K |
| High-net-worth individuals | 182 | $562M | 84.3% | $3.09M |
| Total | 440 | $666M | 100% | $1.51M |
- Clients
- 258
- Regulatory AUM
- $105M
- AUM share
- 15.7%
- Avg. per client
- $406K
- Clients
- 182
- Regulatory AUM
- $562M
- AUM share
- 84.3%
- Avg. per client
- $3.09M
Total
- Clients
- 440
- Regulatory AUM
- $666M
- AUM share
- 100%
- Avg. per client
- $1.51M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Prestige Wealth Management Group is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Stand-alone financial planning and consulting
- Stand-alone financial planning and consulting fees are negotiable, generally $3,500 to $50,000 fixed, or $500 to $750 an hour.
Roy Williams owns 75% or more of Prestige Wealth Management Group. The leadership team of Prestige Wealth Management Group includes President Roy Williams. It has 13 employees, 4 of them in advisory roles.
Leadership
Roy WilliamsManaging Member, President, CEO, Chief Compliance Officer- Howard SpivackDirector of Financial Planning
Investment adviser representatives
6 representatives listed in the SEC register as of 9 October 2026.
Staff
- 13 employees
- 4 in advisory functions
- 5 state-registered reps
- 1 broker-dealer rep
- 2 insurance agents
- Owns 75% or more of Prestige Wealth Management Group, LLC
Roy Williams
Control person · since March 1995
Prestige Wealth Management Group’s regulatory assets grew 1.8× from $373M (April 2021) to $666M (March 2026); clients rose from 367 to 440 and employees from 8 to 13.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $666M | 440 | 13 | 4 |
| March 2025 | $599M | 431 | 12 | 4 |
| May 2024 | $498M | 429 | 12 | 4 |
| March 2023 | $463M | 411 | 8 | 3 |
| March 2022 | $431M | 373 | 8 | 3 |
| April 2021 | $373M | 367 | 8 | 2 |
Besides its headquarters, Prestige Wealth Management Group has 3 offices (1 private residence, listed without an address), with 3 listed addresses in New Jersey.
New Jersey · 3 listed addresses
- 31 State Route 12, FlemingtonHQ
- 440 Route 513, Califon
- 374 Millburn Ave., Millburn
Contact and registration details
- Legal name
- Prestige Wealth Management Group, LLC
- Headquarters
- 31 State Route 12, Flemington, NJ 08822
- Website
- prestigewmg.com
- Phone
- 908-782-0001
- SEC file
- 801-72627
- Founded
- 1994
- Structure
- New Jersey LLC
- Fiscal year end
- December
Prestige Wealth Management Group uses Charles Schwab ($666M) as custodian for its separately managed accounts. Prestige Wealth Management Group does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $666M100%
At year end, Prestige Wealth Management Group’s separately managed accounts were mostly in stocks (57%) and funds (36%). Its reported 13F holdings for the quarter ended 30 June 2026 total $551M across 1,102 positions; the largest are Wisdomtree TR (10.5%), iShares TR (6.2%) and Apple Inc. (5.6%).
What the accounts hold
- Stocks57%
- Funds36%
- Bonds4%
- U.S. government and agency bonds3%
- State and local bonds1%
- Cash3%
Reported 13F holdings
- $551M
- Reported 13F value
- 1,102
- Positions
- 49.3%
- In the 10 largest
- +8.2%
- Value vs. prior quarter
- Wisdomtree TR · US Qtly Div Grt10.5%
- iShares TR · Mbs ETF6.2%
- Apple Inc.5.6%
- iShares TR · Broad Usd High5.5%
- Vanguard BD Index Fds · Total Bnd Mrkt5.5%
- Wisdomtree TR · Yield Enhancd US5.3%
- Wisdomtree TR · US Quality Grow4.3%
- Colgate Palmolive CO2.4%
- Vanguard Index Fds · Value ETF2.2%
- Select Sector SPDR TR · ST Str Care ETF1.8%
Together, the ten largest are 49.3% of reported value.
How many clients does Prestige Wealth Management Group have?
Prestige Wealth Management Group has 440 clients and manages $666 million for them, as of March 2026. They include 258 individual clients and 182 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026
What services does Prestige Wealth Management Group offer?
Prestige Wealth Management Group provides financial planning, portfolio management for individuals and small businesses, selecting other managers, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Prestige Wealth Management Group use?
Prestige Wealth Management Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $666M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026
How many financial advisors does Prestige Wealth Management Group have?
Prestige Wealth Management Group has 5 investment adviser representatives registered with state securities authorities, out of 13 employees, and 4 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Prestige Wealth Management Group invest in?
At the end of its last fiscal year, Prestige Wealth Management Group’s separately managed accounts held 57% exchange-traded equities, 36% registered funds (mutual funds, ETFs, BDCs), 3% U.S. government and agency bonds, 3% cash and equivalents and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Prestige Wealth Management Group?
Prestige Wealth Management Group’s direct owner is Roy Williams (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 10 March 2026
How does Prestige Wealth Management Group get paid?
Prestige Wealth Management Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Prestige Wealth Management Group registered with the SEC?
Yes, Prestige Wealth Management Group has been registered with the SEC as an investment adviser since 29 July 2011. Its CRD number is 127381 and its SEC file number is 801-72627.
Source: Form ADV Part 1A, Item 1, filed 10 March 2026; IAPD firm record
How do I contact Prestige Wealth Management Group?
Prestige Wealth Management Group’s main office is at 31 State Route 12, Flemington, NJ 08822. Its phone number is 908-782-0001. Its website is prestigewmg.com.