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PRINCE FINANCIAL ADVISORY LLC

NEW YORK, NY · CRD 131234 · IAPD ↗ · 212-286-1372

$62.2MRegulatory AUM
1Advisory reps
1Employees
1Clients
0Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
July 2026 — PRINCE FINANCIAL ADVISORY LLC (NEW YORK, NY) left the SEC roster (was $62.2M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
42
December 2025 — PRINCE FINANCIAL ADVISORY LLC notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
January 2025 — PRINCE FINANCIAL ADVISORY LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
January 2025 — PRINCE FINANCIAL ADVISORY LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.