Prosperity Capital Advisors
Firm details
- Headquarters
- Westlake, Ohio
- CRD number
- 156480
- Registered since
- March 22, 2011
- Custodians
- CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC, THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION, ASSETMARK TRUST CO.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI47.69%
- Individuals38.5%
- Insurance Companies12.33%
- Pension & Profit Sharing Plans0.75%
- Corporations / Businesses0.68%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Prosperity Capital Advisors is an independent, SEC-registered advisory firm organized as an LLC and operating since 2011. It serves both individual/family and institutional clients and bills using a mix of percentage-of-AUM, hourly, and fixed-fee arrangements. The firm also functions as a capital allocator and provides a broad set of business activities beyond investment advice, including registered representative services, real estate brokerage, insurance brokerage, and accounting. Its advisory services span financial planning, portfolio management for individuals and institutions, manager selection, and educational workshops. Prosperity Capital Advisors was named a Top RIA Firm by FA Magazine in 2020.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds70%
- Exchange Traded Equities12%
- Investment Grade Corp Bonds11%
- Cash & Cash Equivalents3%
- US Government Bonds2%
Owners & executives
3 of 11
David Buckwald
CEO & FounderCRD 1883251
Luke Ripienski
Chief Compliance OfficerCRD 4563278
Ryan Warner
Chief Compliance OfficerCRD 4600110
Contacts
3 of 95
Andrew Serzan
Managing PartnerCRD 4537685
Jason Fox
Associate AdvisorCRD 8040317
Bernadette Strout
Investment AdvisorCRD 4835859
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 333Active vs passive
$2.3B in ETFs
41%
$962M
28%
$1.4B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM) | State Street | $251M | 2,850,502 | 10.78% |
Location
Westlake, OH
Cuyahoga
Location
Westlake, OH
Headquartered in Westlake, OH, anchoring the Cleveland-Akron-Canton, OH metro in the Midwest.
- Metro area
- Cleveland-Akron-Canton, OH
- Region
- Midwest
- County
- Cuyahoga
- Address
- 30400 Detroit Rd
- Time zone
- ET (UTC-5)
- Office locations
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