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PRISM PLANNING AND SOLUTIONS GROUP

WHITE PLAINS, NY · CRD 340003 · IAPD ↗ · ppsgrp.com · (914) 831-3050

$157.0MRegulatory AUM
3Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
September 2026 — PRISM PLANNING AND SOLUTIONS GROUP notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
August 2026 — PRISM PLANNING AND SOLUTIONS GROUP's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
March 2026 — PRISM PLANNING AND SOLUTIONS GROUP (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 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.