Investment adviser · CRD 339321
PROSPERITY FINANCIAL GROUP, INC.
Investment adviser filing (IA)
SAN RAMON, CA, United States · Form ADV filed Jul 27, 2026
- Regulatory AUM
- $503M Form ADV · Item 5.F
- Client accounts
- 1,360 Accounts, not individual clients
- Employees
- 10 Reported in this filing
- Advisory professionals
- 8 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 122 | $359,272,721 | 71.4% |
| Individuals | 476 | $133,218,600 | 26.5% |
| Retirement plans | 13 | $10,434,241 | 2.1% |
| Charities | Fewer than 5 | $29,516 | 0.0% |
Filing source
Form ADV 2122257 · Jul 27, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Jul 27, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Business portfolio management · Pension consulting · Selection of other advisers
Compensation
Percentage of assets · Hourly · Fixed
Principal office
2333 SAN RAMON VALLEY BLVD., SUITE 200SAN RAMON, CA, 94583, United States
CRD 339321
Filing source
Form ADV 2122257 · Jul 27, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.