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PROTA FINANCIAL

HOUSTON, TX · CRD 283776 · IAPD ↗ · 713-568-8171

$270.4MRegulatory AUM
13Advisory reps
13Employees
0Clients
n/aPlanning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
December 2025 — PROTA FINANCIAL notice-filed in MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
March 2025 — PROTA FINANCIAL reported RAUM up 28% ($182.0M -> $233.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
June 2024 — PROTA FINANCIAL notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
June 2024 — PROTA FINANCIAL added office(s): 18 -> 19 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
42
May 2024 — PROTA FINANCIAL notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
May 2024 — PROTA FINANCIAL added office(s): 15 -> 18 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
March 2024 — PROTA FINANCIAL added office(s): 0 -> 15 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
February 2024 — PROTA FINANCIAL reported RAUM up 43% ($127.7M -> $182.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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