Stewart P. Neff

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CRD#: 4944996

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stewart P Neff, who also goes by Stewart Perry Neff, was a registered financial professional .

Stewart is a previously registered financial professional and started their career in finance in 2005. Stewart had worked at 5 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stewart Perry Neff

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2019 - December 13, 2021

PROMETHOS CAPITAL, LLC

RIA

CRD#: 300915

BOSTON, MA

Past

June 7, 2016 - June 26, 2017

3EDGE ASSET MANAGEMENT, LP

RIA

CRD#: 282059

Boston, MA

Past

November 10, 2010 - December 5, 2014

WINDHAVEN INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 155138

BOSTON, MA

Past

February 17, 2009 - November 18, 2010

WINDWARD INVESTMENT MANAGEMENT INC

RIA

CRD#: 109405

BOSTON, MA

Past

July 20, 2005 - November 16, 2007

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

BOSTON, MA

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".

PROMETHOS CAPITAL, LLC

CRD#: 300915 / SEC#: 801-114880

RIA

Registered Investment Advisory firm - (3/25/2019 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/12/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/2005

General Securities Representative Examination

Current Firm

PROMETHOS CAPITAL, LLC

CRD#: 300915 / SEC#: 801-114880

RIA

Registered Investment Advisory firm - (3/25/2019 Approved)

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Contact information

Main Address

101 Federal Street Suite 1900, Boston, MA 02110

Mailing Address

Phone number

(617) 535-9240

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROMETHOS CAPITAL LLC BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 875,297,189

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

Stewart P. Neff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PROMETHOS CAPITAL, LLC

3EDGE ASSET MANAGEMENT, LP

WINDHAVEN INVESTMENT MANAGEMENT, INC.

WINDWARD INVESTMENT MANAGEMENT INC

NATWEST MARKETS SECURITIES INC.

Primary Firm SEC Registration

PROMETHOS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/2009

Series 7

Date: 7/18/2005

Current Firm

PROMETHOS CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROMETHOS CAPITAL, LLC

TRUST BUT VERIFY

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