Prosperity Financial Group, Inc.

RIASEC RegisteredEst. 2025

Total AUM

$503M

Discretionary

$503M

100% of AUM

Avg account

$370K

Accounts

1,360

Employees

Advisory reps

Firm details

Headquarters: San Ramon, California
CRD number: 339321
Registered since: December 1, 2025
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI71.43%
Individuals26.49%
Pension & Profit Sharing Plans2.07%
Charitable Organizations0.01%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Prosperity Financial Group, Inc. is an independent registered investment adviser organized as a corporation and owned by an individual. The firm registered with the SEC in 2025 and describes itself as a capital allocator that serves both individual and family clients as well as institutional accounts. Its advisory services span financial planning and portfolio management for individuals, small businesses and institutions, plus selection of other advisers and pension consulting services. Prosperity also operates as an insurance broker and charges clients via a mix of percentage-of-assets, hourly fees and fixed-fee arrangements. The firm does not identify as an active ESG investor and reports a single-state footprint rather than a multi-state adviser model. It indicates ongoing use of third-party managers as part of its capital-allocation activity.