# Prota Financial

Prota Financial is a Bank / Wealth / Trust based in Houston, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Houston, United States
- **Region:** North America
- **Address:** Houston, TX, United States
- **Founded:** 2016
- **Assets under management:** Undisclosed
- **Website:** protafinancial.com
- **LinkedIn:** https://www.linkedin.com/company/lindsey-elliff-657560a0

## Regulatory record

- **CRD number:** 283776
- **SEC file number:** 801-125895
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/283776

## About

Prota Financial was founded in 2016 and is headquartered in Houston, Texas. The firm operates as a registered investment adviser (RIA), a structure that binds it to a fiduciary standard when advising clients. Its founding marked an entry into a crowded Texas RIA market, offering portfolio management and financial planning to individuals and small businesses. The firm has not disclosed the individual principals or the specific source of the practice's founding capital. The firm's investment approach centers on discretionary portfolio management alongside financial planning services. Its stated client base includes individuals, high-net-worth individuals, and small businesses. As an RIA, Prota Financial typically constructs portfolios using individual securities, mutual funds, or ETFs, though its specific asset-class mix and any direct-alternative or private-market exposure have not been publicly detailed. The geographic focus appears concentrated on the Houston metropolitan area and the broader Texas market, where the firm is domiciled. Prota Financial has not publicly disclosed its total assets under management, total deployment, or team headcount. The firm maintains a single office in Houston. No adjacent vehicles — such as a philanthropic foundation, real-asset arm, or operating business — are associated with the firm in the public record. No verifiable capital-markets transactions, fund closes, or senior personnel moves from the last 24 months have been reported. The firm's structural differentiator is its fiduciary RIA charter, which legally requires it to place client interests ahead of its own — a governance choice that distinguishes it from broker-dealer models. Beyond that regulatory posture, the firm's competitive footing appears to rely on local-market relationships in Houston rather than a nationally scaled platform or a differentiated sourcing model.

## Sectors

- Wealth Management
- Financial Planning
- Registered Investment Adviser

## Questions

### Is Prota Financial a fiduciary?

Yes, Prota Financial is organized as a registered investment adviser (RIA), per its regulatory filings. The RIA structure legally obligates the firm to adhere to a fiduciary standard, meaning it must act in its clients' best interests when providing investment advice. This distinction separates RIAs from broker-dealers, who operate under a less stringent suitability standard.

### Who runs Prota Financial?

The firm has not identified its named principals, managing partners, or investment committee members in publicly available materials. The founding occurred in 2016, but the identities and professional backgrounds of the individuals behind the practice have not been reported in trade publications or captured on the firm's corporate website.

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Last updated: 2026-06-03T20:00:00.000Z

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