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PRESCOTT TAX AND WEALTH MANAGEMENT

SAN JUAN CAPISTRANO, CA · CRD 331654 · IAPD ↗ · prescott500.com · 949-248-9815

$0Regulatory AUM
2Advisory reps
2Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
October 2024 — PRESCOTT TAX AND WEALTH MANAGEMENT (SAN JUAN CAPISTRANO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 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
95
August 2024 — PRESCOTT TAX AND WEALTH MANAGEMENT (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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