Prospect Financial Services LLC

RIA/Wealth

Prospect Financial Services LLC is a RIA/Wealth based in Melville, NY led by Sean Peter Rooney, reporting $418.1M in AUM as of Q3 2025 with 42% ETF concentration.

Managing PartnerSean Peter Rooney

Portfolio Value: $173.9M
Positions: 104
Top Holding: SLG at 7.43%
Last Reported: Q3 2025

Address445 Broad Hollow Road, Suite Cl-43, Melville, NY, 11747, United States

Top Holdings

Largest long holdings in Prospect Financial Services LLC's portfolio (46.1% of total portfolio)

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Holding	Sector	Position	Weight	Traded	Ownership	Owned Since
1 SL Green Realty SLG	REIT - Office Real Estate	$12.9M	7.43%	+$12.7K Bought	0.30% 216.1K shares	Q4 2023 Held for 1y 11m
2 Alphabet Inc. GOOG	Internet Content & Information Communication Services	$9.5M	5.47%	-$37.8K Sold	0.00% 39.0K shares	Q4 2023 Held for 1y 11m
3 Vanguard Long-Term Corporate Bond VCLT	ETF ETF	$9.4M	5.40%	+$75.6K Bought	— 120.9K shares	Q4 2023 Held for 1y 11m
4 Boeing BA	Aerospace & Defense Industrials	$9.2M	5.31%	+$78.8K Bought	0.01% 42.8K shares	Q4 2023 Held for 1y 11m
5 Nvidia NVDA	Semiconductors Technology	$7.5M	4.34%	-$247.8K Sold	0.00% 40.4K shares	Q4 2023 Held for 1y 11m
6 Invesco QQQ Trust QQQ	ETF ETF	$7.2M	4.16%	+$163.9K Bought	— 12.0K shares	Q4 2023 Held for 1y 11m
7 Vanguard S&P 500 ETF VOO	ETF ETF	$6.7M	3.86%	+$341.1K Bought	— 11.0K shares	Q4 2023 Held for 1y 11m
8 Palantir Technologies Inc. PLTR	Software - Infrastructure Technology	$6.4M	3.68%	-$93.6K Sold	0.00% 35.1K shares	Q4 2023 Held for 1y 11m
9 Vanguard Intermediate-Term Corporate Bond VCIT	ETF ETF	$6.1M	3.51%	+$296.2K Bought	— 72.6K shares	Q4 2023 Held for 1y 11m
10 Alphabet Inc. GOOGL	Internet Content & Information Communication Services	$5.1M	2.94%	+$15.3K Bought	0.00% 21.0K shares	Q4 2023 Held for 1y 11m

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Changes

Portfolio activity, position movements, and quarter-over-quarter changes in Prospect Financial Services LLC's latest filing

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Market Value

$173.9M

Prior: $167.0M

Q/Q Change

+4.13%

+$6.9M

Net Flows % of MV

-3.12%

Turnover Ratio

6.92%

New Purchases

9 stocks

$2.1M

Added To

47 stocks

+$7.0M

Sold Out Of

27 stocks

$9.2M

Reduced Holdings

41 stocks

-$5.4M

Increased Positions

Position	Shares Δ	Change
1 Nebius Group N.V. NBIS	New	0 → 2.6K +$292.5K
2 ALAI Alger AI Enablers & Adopters ALAI	New	0 → 6.8K +$256.7K
3 iShares Core Dividend Growth DGRO	New	0 → 3.6K +$246.1K
4 Rocket Lab USA, Inc. RKLB	New	0 → 5.0K +$239.6K
5 Vanguard Small-Cap Value VBR	New	0 → 1.1K +$232.9K

Decreased Positions

Position	Shares Δ	Change
1 BIDU Baidu BIDU	Sold	14.6K → 0 −$1.3M
2 iShares MSCI ACWI ACWI	Sold	8.2K → 0 −$951.4K
3 American Tower AMT	Sold	3.2K → 0 −$685.4K
4 JD JD.com JD	Sold	13.5K → 0 −$553.5K
5 Occidental Petroleum OXY	Sold	9.4K → 0 −$465.7K

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Analytics

Portfolio insights and performance metrics for Prospect Financial Services LLC

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Sector Allocation

ETF

41.60%

Technology

14.40%

Communication Services

11.50%

Real Estate

9.90%

Industrials

5.80%

Consumer Cyclical

5.20%

Energy

3.90%

Financial Services

2.00%

Healthcare

1.70%

Consumer Defensive

0.40%

Utilities

0.20%

Market Cap Distribution

Mega Cap (> $200B)

31.66%

Large Cap ($10B - $200B)

12.74%

Mid Cap ($2B - $10B)

10.17%

Small Cap ($300M - $2B)

0.13%

Nano Cap (< $50M)

0.13%

N/A (ETF or Unknown)

45.17%

Portfolio Concentration

Top 10 Holdings %

46.11%

Top 20 Holdings %

67.58%

Top 50 Holdings %

89.15%

Top 100 Holdings %

99.63%