{"url":"https://nivawealth.com/firms/prime-finance-advisor-159971","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159971","regulatoryAum":22224814751,"crd":"159971","secFileNumber":"801-73438","legalName":"Prime Finance Advisor, L.P.","displayName":"Prime Finance Advisor","website":"http://www.primefinance.com","linkedinUrl":"https://www.linkedin.com/company/primefinance/","founded":null,"organization":"Delaware limited partnership","fiscalYearEnd":"December","headquarters":{"street":"600 Montgomery Street, Suite 1700","city":"San Francisco","state":"CA","stateName":"California","country":"United States","postalCode":"94111"},"tradeNames":["Prime Finance Advisor Chicago, L.P.","Prime Finance Advisor New York, L.P.","Prime Residential Capital Management, L.P."],"registration":{"secApproved":"30 March 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":185,"advisory":91,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":22224814751,"discretionaryAccounts":73,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":4,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":73,"regulatoryAum":22224814751}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Prime Finance Advisor has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Steven Sutton","title":"Chief Compliance Officer","crd":"7530067"},{"name":"John Atwater","title":"Manager of the General Partner","crd":"1220073"},{"name":"Jon Brayshaw","title":"Manager of the General Partner","crd":"6027573"},{"name":"Scott Douglass","title":"Manager of the General Partner","crd":"2939218"},{"name":"Steven Gerstung","title":"Manager of the General Partner","crd":"2764268"}],"ownership":[{"label":"Prime Finance Advisor Holdings, L.P.","detail":"Limited partner in the 75% or more ownership band and a control person, since March 2026."},{"label":"John Atwater","detail":"Indirect owner: a member of Prime Finance Advisor GP, LLC in the 25% to 50% band and a control person, since November 2011.","parent":"Prime Finance Advisor GP, LLC"},{"label":"Prime Finance Advisor GP, LLC","detail":"Indirect owner: general partner of Prime Finance Advisor Holdings, L.P. and a control person, since February 2026.","parent":"Prime Finance Advisor Holdings, L.P."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"600 Montgomery Street, Suite 1700","city":"San Francisco","headquarters":true}]},{"state":"Illinois","offices":1,"addresses":[{"street":"155 North Wacker Drive","city":"Chicago"}]},{"state":"New York","offices":1,"addresses":[{"street":"1330 Avenue of the Americas","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-986-2415","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":32},"sources":{"adv1FilingDate":"19 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159971/PDF/159971.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Prime Finance Advisor have?","answer":"Prime Finance Advisor has 73 clients and manages $22.2 billion for them, as of May 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prime Finance Advisor offer?","answer":"Prime Finance Advisor provides portfolio management for pooled vehicles and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Prime Finance Advisor have?","answer":"Prime Finance Advisor has 0 investment adviser representatives registered with state securities authorities, out of 185 employees, and 91 perform investment advisory functions. None are registered representatives of a broker-dealer or 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":"Who owns Prime Finance Advisor?","answer":"Prime Finance Advisor is owned through a chain of holding companies by John Atwater. Its direct owner is Prime Finance Advisor Holdings, L.P. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prime Finance Advisor get paid?","answer":"Prime Finance Advisor is paid through a percentage of assets under management, performance-based fees and other arrangements. Its Form ADV lists no commissions 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"}}],"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 Wealth 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."}