Courtney L. Kauffman

PROWELL FINANCIAL MANAGEMENT

Exton, PA 19341

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CRD#: 7469800

Professional summary

Courtney Lynn Kauffman, CFP®, who also goes by Courtney Lynn Prowell, is a registered financial advisor currently at PROWELL FINANCIAL MANAGEMENT, LLC located in Exton, Pennsylvania.

Courtney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Courtney has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Courtney Lynn Prowell

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) - RIA

Click below to view Courtney Lynn Kauffman'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®

CFP^®

Certified Financial Planner

Experience

Current

November 17, 2021 - Present

PROWELL FINANCIAL MANAGEMENT, LLC

Office #1: 717 Constitution Drive Suite 102, Exton, PA 19341

RIA

CRD#: 281762

Exton, 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".

PROWELL FINANCIAL MANAGEMENT, LLC

CRD#: 281762 / SEC#: 801-108292

RIA

Registered Investment Advisory firm - (8/22/2016 Approved)

Delaware

Registered Investment Advisory firm - (8/26/2016 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (9/2/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/24/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Pennsylvania
(11/17/2021)

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

Current Firm

PROWELL FINANCIAL MANAGEMENT, LLC

CRD#: 281762 / SEC#: 801-108292

RIA

Registered Investment Advisory firm - (8/22/2016 Approved)

Delaware

Registered Investment Advisory firm - (8/26/2016 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (9/2/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/24/2016 Terminated)

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Contact information

Main Address

717 Constitution Drive Suite 102, Exton, PA 19341

Mailing Address

Phone number

(484) 359-4057

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	367
AUM (Assets Under Management)	$ 8,094,993,369

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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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Courtney L. Kauffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Courtney Lynn Kauffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROWELL FINANCIAL MANAGEMENT, LLC

Primary Firm SEC Registration

PROWELL FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

PROWELL FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROWELL FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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