PROSPERITY WEALTH MANAGEMENT, INC.

Latest filing: Mar 28, 2025 (140 days ago)

View on IAPD

Adviser Website

AUM

$442,192,443

82% change vs. 1 year ago

90% change vs. 3 years ago

243% change vs. 5 years ago

0% change vs. 10 years ago

Employee Count

2% change vs. 1 year ago

-9% change vs. 3 years ago

6% 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	1,566	$0.3
Average Individual AUM		$196,444
HNW	35	$0.1
Average HNW AUM		$3,699,019
Retail Total	1,601	$0.4
Average Retail AUM		$273,015

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	$0.2

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	40%	$0.2
Equity Non-Exch	0%	$0.0
Govt Agency	0%	$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	50%	$0.2
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 FINANCIAL GROUP, INC.	$0.4		145540
FORTUNE FINANCIAL SERVICES, INC.	$0.0	broker-dealer	42150

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

3 active

Name	Title
KALLEN, ELLIOT, HERBERT IAPD Broker	CHIEF COMPLIANCE OFFICER AND OWNER
BENTLEY, GREGORY, JOHN IAPD Broker	OWNER
DANIELS, BLAKE, WILLIAM IAPD Broker	OWNER

ADVDB.CO • SOURCE: SEC

Representatives

48 active representatives found, showing 20 random

Name	City	State	Exams	Designations
CYNTHIA PELLEGRINO	SAN RAMON	CA	S63\|2000-12-14\|S65\|2013-11-01
KENNETH WESSELS	SAN RAMON	CA	S66\|2006-11-17
BRIAN SAMUELS	SAN RAMON	CA	S63\|1996-07-03\|S65\|2001-07-30
CHRISTOPHER CARRILLO	SAN RAMON	CA	S63\|2013-12-28\|S65\|2014-02-17
NICOLE BREWER	SAN RAMON	CA	S65\|2014-07-07\|S63\|2016-01-28
MICHAEL CALCO	SAN RAMON	CA	S63\|1986-03-17\|S66\|2017-05-10	CERTIFIED FINANCIAL PLANNER
MICHAEL DELUCA	SAN RAMON	CA	S63\|2001-08-31\|S66\|2009-09-29
MARK YOUNG	SAN RAMON	CA	S63\|1991-10-16\|S65\|1998-01-24
BRUCE SINCLAIR	SAN RAMON	CA	S65\|2021-04-27
STEPHEN HECKER	SAN RAMON	CA	S63\|2003-02-11
DONN SINCLAIR	SAN RAMON	CA	S63\|1988-01-04\|S65\|2018-02-17
FRANCIS SNYDER	SAN RAMON	CA	S63\|1999-06-04\|S65\|2006-04-28
HUGH CANNON	SAN RAMON	CA	S63\|1982-02-03\|S65\|1998-06-08
CHARLES CERONE	SAN RAMON	CA	S66\|2004-08-31
JOSEPH MATUSZ	SAN RAMON	CA	S63\|1990-02-16\|S65\|1999-09-30
JOSEPH D'URSO	SAN RAMON	CA	S66\|2016-04-08\|S65\|2021-05-27
LEE ABRAMOVITZ	SAN RAMON	CA	S63\|1995-04-07\|S65\|1997-12-08
JOSEPH KIRLIN	SAN RAMON	CA	S63\|1985-10-16	CHARTERED FINANCIAL CONSULTANT
PATRICIA PIATT	SAN RAMON	CA	S63\|1999-02-19\|S66\|2005-07-22
MATHEW LIND	SAN RAMON	CA	S63\|2010-08-07\|S65\|2024-01-10

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2025-08-01	$0.4	$0.0	0%	51	0	0%
2025-04-21	$0.4	$0.0	0%	51	0	0%
2024-04-02	$0.2	$0.2	82%	50	1	2%
2023-04-04	$0.2	$0.2	104%	50	1	2%
2022-04-01	$0.2	$0.2	90%	56	-5	-9%
2021-04-05	$0.2	$0.3	149%	61	-10	-16%
2020-04-01	$0.1	$0.3	243%	48	3	6%
2019-04-01	$0.2	$0.2	118%	50	1	2%
2018-04-02	$0.1	$0.3	295%	50	1	2%
2017-04-01	$0.0	$0.4	1005%	25	26	104%
2016-04-01	$0.0	$0.4	1374%	18	33	183%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS

CA, AR-03/29/2024, AZ-03/29/2024, CA-01/03/2020, CO-03/31/2022, CT-01/03/2020, DE-03/31/2022, FL-07/14/2015, GA-01/03/2020, IA-03/28/2025, IL-07/14/2015, LA-01/03/2020, MA-03/19/2020, MD-01/03/2020, ME-01/03/2020, MI-01/03/2020, MN-01/03/2020, MO-01/03/2020, MS-03/28/2025, NC-01/03/2020, NH-01/03/2020, NJ-01/13/2020, NV-07/01/2021, NY-01/03/2020, OH-01/03/2020, PA-01/03/2020, SC-01/03/2020, TX-01/03/2020, VA-03/03/2021, WA-01/03/2020

ADVISER ACTIVITIES

FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
MANAGER SELECTION

OTHER ACTIVITIES

REP BROKER DEALER
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV