Robert A. Epstein

PROPHET CAPITAL ASSET MANAGEMENT

AUSTIN, TX 78746

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CRD#: 1734163

Professional summary

Robert Alan Epstein, who also goes by Bobby Epstein, is a registered financial advisor currently at PROPHET CAPITAL ASSET MANAGEMENT located in Austin, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 52, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bobby Epstein

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) CURRENTLY AN OWNER/DIRECTOR OF BRAVER STERN HOLDINGS, INC. ("HOLDINGS") (NON-INVESTMENT-RELATED) ("IR") 07/08, THE SOLE S/H OF BRAVER, STERN & CO., INC. ("BRAVER STERN") NON-IR, WHICH IN TURN, IS THE SOLE S/H OF BRAVER STERN SECURITIES CORP. ("BSSC"), A BROKER-DEALER REGISTERED WITH FINRA AND THE SEC, IR, MAKING MR. EPSTEIN THE INDIRECT OWNER OF BOTH BRAVER STERN AND BSSC. HOLDINGS AND BRAVER STERN ARE BOTH HOLDING COMPANIES. ALL THREE ENTITIES ARE LOCATED AT 725 FIFTH AVENUE, NEW YORK, NY 10022. EXPECTS TO SPEND A DE MINIMIS AMOUNT OF TIME WITH HOLDINGS AND BRAVER STERN; AND (2) DIRECTOR/PRES. PASCAL SECURITIES GROUP, LLC NON-IR, AUSTIN, TX, 04/08, SPENDS 1HRS/MTH, NONE OF WHICH WILL BE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Epstein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 11, 2009 - Present

PROPHET CAPITAL ASSET MANAGEMENT

Office #1: 5000 Plaza On The Lake Blvd. Suite 180, Austin, TX 78746

RIA

CRD#: 150683

AUSTIN, TX

Past

January 28, 1993 - September 27, 1995

AMHERST SECURITIES GROUP, L.P.

CRD#: 31141

AUSTIN, TX

Past

October 28, 1989 - January 25, 1993

WESTCAP SECURITIES, L.P.

CRD#: 7301

HOUSTON, TX

Past

October 28, 1989 - January 25, 1993

WESTCAP GOVERNMENT SECURITIES, INC.

CRD#: 19645

Past

November 23, 1988 - November 8, 1989

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROPHET CAPITAL ASSET MANAGEMENT

PROPHET CAPITAL ASSET MANAGEMENT | PROPHET CAPITAL ASSET MANAGEMENT LP

CRD#: 150683 / SEC#: 801-70461

RIA

Registered Investment Advisory firm - (8/24/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(9/11/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52

Date: 9/9/1994

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/29/1994

Municipal Securities Principal Examination

Current Firm

PROPHET CAPITAL ASSET MANAGEMENT

PROPHET CAPITAL ASSET MANAGEMENT | PROPHET CAPITAL ASSET MANAGEMENT LP

CRD#: 150683 / SEC#: 801-70461

RIA

Registered Investment Advisory firm - (8/24/2009 Approved)

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Contact information

Main Address

303 Colorado Street Ste 2050, Austin, TX 78701

Mailing Address

Phone number

(512) 327-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROPHET ADV PART2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 3,282,153,505

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Robert A. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMHERST SECURITIES GROUP, L.P.

WESTCAP SECURITIES, L.P.

WESTCAP GOVERNMENT SECURITIES, INC.

RAUSCHER PIERCE REFSNES, INC.

Primary Firm SEC Registration

PROPHET CAPITAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2009

Series 63

Date: 12/6/1988

Series 52

Date: 9/9/1994

Series 7

Date: 11/19/1988

Series 53

Date: 9/29/1994

Current Firm

PROPHET CAPITAL ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROPHET CAPITAL ASSET MANAGEMENT

TRUST BUT VERIFY

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