Data / Investment advisers / California / Prospettiva Financial
Prospettiva Financial, San Francisco, CA: $129 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Prospettiva Financial is an SEC registered investment adviser with its main office in San Francisco, California and reports $129 million in regulatory assets under management in its Form ADV filed March 17, 2026. Its clients include high net worth individuals, charitable organizations and individuals. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 148760
- SEC file number
- 801-123729
- SEC status
- Approved, effective April 18, 2022
- Legal name
- Prospettiva Financial LLC
- Main office
- 22 Battery Street Suite 426, San Francisco, CA 94111
- Phone
- (415) 362-8636
- Regulatory AUM
- $128,665,439 in the Form ADV filed March 17, 2026
- Discretionary AUM
- $128,665,439
- Accounts
- 308
- Employees
- 3, of which 3 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Other offices
- 3
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 17, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 250 | $104.2 million |
| Charitable organizations | Fewer than 5 | $13.3 million |
| Individuals (other than high net worth individuals) | 44 | $7.3 million |
| Pension and profit sharing plans | Fewer than 5 | $3.9 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $128.7 million | March 17, 2026 |
| December 1, 2025 | $116 million | February 10, 2025 |
Other advisers in San Francisco
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Dedicated Capital Advisors, LLC | San Francisco | $162.5 million | Not listed | adviserinfo.sec.gov |
| Chrome Advisors | San Francisco | $152 million | Not listed | adviserinfo.sec.gov |
| Scenic Management LLC | San Francisco | $144.6 million | 6 | adviserinfo.sec.gov |
| Fairlight Advisors | San Francisco | $135.7 million | Not listed | adviserinfo.sec.gov |
| Garhwal, Chan & Williams Inc. | San Francisco | $133.6 million | Not listed | adviserinfo.sec.gov |
| We Financial Group | San Francisco | $127.4 million | Not listed | adviserinfo.sec.gov |
| Bretton Capital Management | San Francisco | $122.8 million | Not listed | adviserinfo.sec.gov |
| Wealth Script Advisors | San Francisco | $121.4 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in San Francisco, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving charitable organizations
- Prospettiva Financial on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.