AK
Adam J. Kaufer
PRISM FINANCIAL GROUP
Philadelphia, PA
Some features on this profile are disabled
CRD#: 5985449
AK
Professional summary
Adam Joseph Kaufer, AIF®, CFP®, who also goes by Adam J Kaufer, is a registered financial advisor currently at PRISM FINANCIAL GROUP, LLC located in Philadelphia, Pennsylvania and CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Adam has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam J Kaufer
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. NAME OF OTHER BUSINESS: KAUFER FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING, WEALTH MANAGEMENT START DATE: 04/2013 APX NUMBER OF HOURS PER WEEK: 70 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PRINCIPAL, CEO 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2018; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 3.NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 199 STARK RD NICHOLSON PA 18446 NATURE OF BUSINESS: TRUSTS START DATE: 10/2014 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: PROPERTY MANAGER, DECISION MAKER FOR PROPERTY, LAND, MINERALS/GAS RIGHTS 4.NAME OF OTHER BUSINESS: PRISM FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2020; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 5. NAME OF OTHER BUSINESS: FORT MIFFLIN ON THE DELAWARE; INVESTMENT RELATED: NO; ADDRESS: 6400 HOG ISLAND ROAD PHILADELPHIA PA 19153; NATURE OF BUSINESS: NATIONAL HISTORIC LANDMARK; START DATE: 7/2020; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND QUARTERLY BOARD MEETING, ASSIST WITH STRATEGIC PLANNING AND PROVIDE OVERSIGHT; 6. NAME OF OTHER BUSINESS: PRISM FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 10/2020 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT; 6. NAME OF OTHER BUSINESS: NAVY LEAGUE OF THE UNITED STATES - PHILADELPHIA COUNCIL, INVESTMENT RELATED: NO, ADDRESS: 524 SPRUCE STREET, APT F, PHILADELPHIA, PA, 19106, NATURE OF BUSINESS: NON-PROFIT, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SUPPORT US SEA SERVICES AND THEIR FAMILIES;
CRS (Client Relationship Summary) - RIA
Click below to view Adam Joseph Kaufer's 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®
CFP®
Start date: 2020
Experience
Current
September 15, 2020 - Present
PRISM FINANCIAL GROUP, LLC
RIA
CRD#: 108210
Philadelphia, PA
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 Market St Ste 360, Philadelphia, PA 19106RIA
CRD#: 105644
PHILADELPHIA, PA
Current
May 21, 2013 - Present
CETERA ADVISORS LLC
Office #2: 225 S 4th St Ste 402, Philadelphia, PA 19106BD
CRD#: 10299
Philadelphia, PA
Past
May 21, 2013 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 19, 2011 - May 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PHILADELPHIA, PA
Past
November 18, 2011 - May 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PHILADELPHIA, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/25/2023)
RR
California(5/21/2013)
RR
Colorado(1/4/2018)
RR
Delaware(1/4/2018)
RR
Florida(5/21/2013)
RR
Georgia(1/4/2018)
RR
Hawaii(1/16/2020)
RR
Illinois(1/4/2018)
RR
Indiana(8/4/2025)
RR
Kansas(1/3/2025)
RR
Louisiana(1/4/2018)
RR
Maryland(1/4/2018)
RR
Massachusetts(6/16/2016)
RR
Michigan(9/10/2021)
RR
Minnesota(3/20/2020)
RR
Missouri(7/11/2023)
RR
Nevada(3/6/2018)
RR
New Hampshire(2/5/2024)
RR
New Jersey(5/21/2013)
IAR
New Jersey(9/16/2020)
RR
New Mexico(1/4/2018)
RR
New York(5/21/2013)
RR
North Carolina(1/5/2018)
RR
Ohio(12/15/2023)
RR
Oklahoma(1/3/2025)
RR
Pennsylvania(5/21/2013)
IAR
Pennsylvania(9/15/2020)
RR
South Carolina(1/4/2018)
RR
Texas(5/29/2015)
IAR
Texas(3/21/2024)
RR
Utah(1/4/2018)
RR
Virginia(1/4/2018)
RR
Washington(1/8/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
