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PROSPERITY FINANCIAL GROUP, INC.

dba PROSPERITY FINANCIAL GROUP, INC. · CRD 339321 · Registered Investment Adviser

PROSPERITY FINANCIAL GROUP, INC. is a Registered Investment Adviser headquartered in SAN RAMON, CA. The firm reports $502,955,078 in regulatory assets under management across 1,360 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$502,955,078
Non-discretionary$0
Total RAUM$502,955,078
Accounts1,360

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 339321. adviserinfo.sec.gov/firm/summary/339321.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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