{"url":"https://nivawealth.com/firms/prestige-wealth-services-group-166641","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/166641","regulatoryAum":175183757,"crd":"166641","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3038418","suffix":null,"lastName":"DEANGELO","firstName":"JOHN","middleName":"C"},{"crd":"4843860","suffix":null,"lastName":"Esposito","firstName":"Paul","middleName":"Romano"},{"crd":"7016872","suffix":null,"lastName":"Williams","firstName":"Michael","middleName":"Louis"},{"crd":"1161149","suffix":"JR","lastName":"WILLIAMS","firstName":"ROY","middleName":"EVANS"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-07","regulatoryAum":55480558,"clients":0,"employees":5,"offices":2},{"filedOn":"2022-03-22","regulatoryAum":73836532,"clients":0,"employees":5,"offices":3},{"filedOn":"2023-03-15","regulatoryAum":92724834,"clients":0,"employees":5,"offices":3},{"filedOn":"2024-03-20","regulatoryAum":133316000,"clients":0,"employees":4,"offices":4},{"filedOn":"2025-03-12","regulatoryAum":150541788,"clients":0,"employees":4,"offices":4},{"filedOn":"2026-03-09","regulatoryAum":175183757,"clients":0,"employees":4,"offices":4}],"secFileNumber":"801-77623","legalName":"Prestige Wealth Services Group, Inc.","displayName":"Prestige Wealth Services Group","slug":"prestige-wealth-services-group-166641","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"31 State Route 12","city":"Flemington","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"08822"},"tradeNames":[],"registration":{"secApproved":"15 February 2013","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":4,"advisory":3,"brokerDealerReps":1,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":175183757,"discretionary":175183757,"discretionaryAccounts":295,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Other investment advisers","clients":null,"fewerThan5":true,"regulatoryAum":175183757}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":175183757}],"custodyNote":"Prestige Wealth Services Group does not have custody of client assets.","leadership":[{"name":"Roy Williams","title":"Principal, President, Chief Executive Officer, Chief Compliance Officer and Chief Investment Officer","crd":"1161149"}],"ownership":[{"label":"Roy Williams","detail":"Principal, president, chief executive officer, chief compliance officer and chief investment officer in the 75% or more ownership band and a control person, since November 2012."}],"filedOffices":{"otherThanPrincipal":3,"privateResidences":1},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":3,"addresses":[{"street":"31 State Route 12","city":"Flemington","headquarters":true},{"street":"440 Route 513","city":"Califon"},{"street":"374 Millburn Ave.","city":"Millburn"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"908-782-0001","stateRegisteredReps":4,"otherAdviserReps":4,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":42},{"label":"Securities issued by registered investment companies or business development companies","percent":56},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"9 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/166641/PDF/166641.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"What services does Prestige Wealth Services Group offer?","answer":"Prestige Wealth Services Group provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Prestige Wealth Services Group use?","answer":"Prestige Wealth Services Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $175M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prestige Wealth Services Group have?","answer":"Prestige Wealth Services Group has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Prestige Wealth Services Group invest in?","answer":"At the end of its last fiscal year, Prestige Wealth Services Group’s separately managed accounts held 56% registered funds (mutual funds, ETFs, BDCs), 42% exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Prestige Wealth Services Group?","answer":"Prestige Wealth Services Group’s direct owner is Roy Williams (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prestige Wealth Services Group get paid?","answer":"Prestige Wealth Services Group is paid through a percentage of assets under management. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Prestige Wealth Services Group registered with the SEC?","answer":"Yes, Prestige Wealth Services Group has been registered with the SEC as an investment adviser since 15 February 2013. Its CRD number is 166641 and its SEC file number is 801-77623.","source":"Form ADV Part 1A, Item 1, filed 9 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Prestige Wealth Services Group?","answer":"Prestige Wealth Services Group’s main office is at 31 State Route 12, Flemington, NJ 08822. Its phone number is 908-782-0001.","source":"Form ADV Part 1A, Item 1.F, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}