{"url":"https://nivawealth.com/firms/prowell-financial-management-281762","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/281762","regulatoryAum":6863569821,"crd":"281762","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7469800","suffix":null,"lastName":"Kauffman","firstName":"Courtney","middleName":"Lynn"},{"crd":"7768882","suffix":null,"lastName":"LYNCH","firstName":"SARAH","middleName":"COOK"},{"crd":"1781070","suffix":null,"lastName":"PROWELL","firstName":"MARK","middleName":"EDWARD"}],"total":3,"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":"2021-03-29","regulatoryAum":686326980,"clients":128,"employees":3,"offices":1},{"filedOn":"2022-03-25","regulatoryAum":1102840949,"clients":82,"employees":3,"offices":1},{"filedOn":"2023-07-25","regulatoryAum":6407099280,"clients":36,"employees":4,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":8343637084,"clients":46,"employees":4,"offices":1},{"filedOn":"2025-02-25","regulatoryAum":8094993369,"clients":60,"employees":4,"offices":2},{"filedOn":"2026-09-28","regulatoryAum":6863569821,"clients":74,"employees":4,"offices":2}],"secFileNumber":"801-108292","legalName":"Prowell Financial Management, LLC","displayName":"Prowell Financial Management","slug":"prowell-financial-management-281762","website":"https://prowell-financial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/281762/7aa76fcafc16d4c4-r1.webp","tone":"light","width":1202,"height":200,"sourceUrl":"https://www.prowell-financial.com/","sourceLabel":"Prowell Financial Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Pennsylvania limited liability company","fiscalYearEnd":"December","headquarters":{"street":"717 Constitution Drive, Suite 102","city":"Exton","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19341"},"tradeNames":[],"registration":{"secApproved":"22 August 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":117113929.77192983,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":6863569821,"discretionary":1299039087,"discretionaryAccounts":319,"nonDiscretionary":5564530734,"nonDiscretionaryAccounts":85,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":23,"regulatoryAum":44346552},{"label":"High-net-worth individuals","clients":34,"regulatoryAum":6631147445},{"label":"Charitable organizations","clients":8,"regulatoryAum":165801358},{"label":"Corporations and other businesses","clients":9,"regulatoryAum":22274466}],"feePrograms":[{"role":"main","program":"Financial Organization and Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058726","versionId":1058726,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-09-22","documentName":"20260922 FORM ADV PART 2A","fee_rate_low":null,"fee_rate_high":0.65,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Asset management fixed fee","summary":"Stand-alone asset management is generally a fixed fee of $25,000 to $400,000, based on complexity and negotiable; a percentage of assets of 0.00% to 0.65% per annum applies in limited cases.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058726","versionId":1058726,"submittedOn":"2026-09-22","documentName":"20260922 FORM ADV PART 2A"},{"role":"other","program":"Financial organization fixed fee","summary":"Financial organization and management is generally a fixed annual fee beginning at $50,000 for shareholders, varying with their number and complexity.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058726","versionId":1058726,"submittedOn":"2026-09-22","documentName":"20260922 FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T03:43:48.423214+00:00","documents":[{"name":"20260922 FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058726","versionId":1058726,"submittedOn":"2026-09-22"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":6760615380}],"custodyNote":"Prowell Financial Management has custody of $104M for 9 clients.","otherCustodians":[],"leadership":[{"name":"Courtney Kauffman","title":"Managing Director/CCO","crd":"7469800"},{"name":"Mark Prowell","title":"Managing Member","crd":"1781070"},{"name":"Sarah Lynch","title":"VP of Operations","crd":"7768882"}],"ownership":[{"label":"Mark Prowell","detail":"Managing member in the 75% or more ownership band and a control person, since November 2015."},{"label":"Courtney Kauffman","detail":"Managing director/cco in the 10% to 25% ownership band, since July 2023."},{"label":"Sarah Lynch","detail":"Vp of operations in the 5% to 10% ownership band, since July 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"18501 Pines BLVD.","city":"Pembroke Pines"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"717 Constitution Drive, Suite 102","city":"Exton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"484-359-4057","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":82},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":6},{"label":"Non-investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"28 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/281762/PDF/281762.pdf","brochureDate":"22 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058726","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Prowell Financial Management have?","answer":"Prowell Financial Management has 74 clients and manages $6.86 billion for them, as of September 2026. They include 34 high-net-worth individuals, 23 individual clients, and 9 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prowell Financial Management offer?","answer":"Prowell Financial Management provides financial planning, portfolio management for individuals and small businesses, 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 much does Prowell Financial Management charge?","answer":"Prowell Financial Management charges up to 0.65% a year for its Financial Organization and Management.","source":"20260922 FORM ADV PART 2A, filed 22 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Prowell Financial Management use?","answer":"Prowell Financial Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $6.76B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prowell Financial Management have?","answer":"Prowell Financial Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 0 employees are registered representatives 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 Prowell Financial Management invest in?","answer":"At the end of its last fiscal year, Prowell Financial Management’s separately managed accounts held 82% exchange-traded equities, 6% investment grade corporate bonds, 6% registered funds (mutual funds, ETFs, BDCs), 4% high-yield corporate bonds, 1% U.S. government and agency bonds and 1% 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 Prowell Financial Management?","answer":"Prowell Financial Management’s direct owners are Mark Prowell (75% or more), Courtney Kauffman (10% to 25%) and Sarah Lynch (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prowell Financial Management get paid?","answer":"Prowell Financial Management is paid through a percentage of assets under management 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Prowell Financial Management?","answer":"Prowell Financial Management’s main office is at 717 Constitution Drive, Suite 102, Exton, PA 19341. Its phone number is 484-359-4057. Its website is prowell-financial.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 September 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."}