PROSPERITY FINANCIAL GROUP, INC.
Latest filing: Mar 27, 2025 (142 days ago)
AUM
$358,866,365
37% change vs. 1 year ago
46% change vs. 3 years ago
136% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
11
22% change vs. 1 year ago
0% change vs. 3 years ago
22% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
SAN RAMON, CA
2333 SAN RAMON VALLEY BLVD., SAN RAMON, CA, UNITED STATES, 94583
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.4 |
| Non-Discretionary | $0.0 |
| Total | $0.4 |
| Client | AUM |
|---|---|
| Retail | $0.4 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 102 | $0.2 |
| Average Individual AUM | $1,608,947 | |
| HNW | 545 | $0.2 |
| Average HNW AUM | $354,389 | |
| Retail Total | 647 | $0.4 |
| Average Retail AUM | $552,171 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.4 |
| Retail SMA AUM | $0.4 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 70% | $0.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 18% | $0.1 |
| Other Pools | 0% | $0.0 |
| Cash | 10% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| PROSPERITY WEALTH MANAGEMENT, INC. | $0.4 | 174328 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
9 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARTIN TROIANI | SAN RAMON | CA | S66|2010-06-04 | ||||||
| HENRY FANGER | SAN RAMON | CA | S63|1986-02-14 | CHARTERED FINANCIAL CONSULTANT | |||||
| ELLIOT KALLEN | SAN RAMON | CA | S63|1993-10-12|S65|1998-12-31 | ||||||
| JAMIE HARGRAVE | SAN RAMON | CA | S63|1998-03-23|S65|1998-04-09 | ||||||
| ANKIT SAHU | SAN RAMON | CA | S66|2003-07-25 | ||||||
| CHARLES BALLWEG | SAN RAMON | CA | S63|1997-01-15|S65|1998-04-03 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| CESAR DANTES | SAN RAMON | CA | S63|1988-12-16 | ||||||
| EMMETT PECK | SAN RAMON | CA | S63|1998-07-20|S65|1998-12-23 | CERTIFIED FINANCIAL PLANNER | |||||
| JAMES HEBERT | SAN RAMON | CA | S63|2016-06-06|S65|2016-11-01 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $0.4 | $0.0 | 0% | 11 | 0 | 0% |
| 2025-04-21 | $0.4 | $0.0 | 0% | 11 | 0 | 0% |
| 2024-04-02 | $0.3 | $0.1 | 37% | 9 | 2 | 22% |
| 2023-04-04 | $0.2 | $0.1 | 68% | 8 | 3 | 38% |
| 2022-04-01 | $0.2 | $0.1 | 46% | 11 | 0 | 0% |
| 2021-04-05 | $0.2 | $0.2 | 78% | 8 | 3 | 38% |
| 2020-04-01 | $0.2 | $0.2 | 136% | 9 | 2 | 22% |
| 2019-04-01 | $0.2 | $0.2 | 115% | 13 | -2 | -15% |
| 2018-04-02 | $0.2 | $0.2 | 124% | 13 | -2 | -15% |
| 2017-04-01 | $0.1 | $0.2 | 176% | 14 | -3 | -21% |
| 2016-04-01 | $0.1 | $0.3 | 248% | 6 | 5 | 83% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AZ-03/31/2023, CA-07/14/2015, CO-03/27/2025, FL-04/02/2019, HI-03/27/2025, ID-04/02/2019, LA-03/31/2023, MA-03/29/2024, NH-03/29/2024, NJ-05/09/2019, NM-03/29/2024, NV-04/02/2019, NY-04/02/2019, OR-03/31/2022, PA-04/02/2019, SC-03/29/2024, TN-03/27/2025, TX-11/11/2016, WA-04/02/2019, WI-03/29/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV