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PROSPERITY FINANCIAL GROUP, INC.

SAN RAMON, CA · CRD 145540 · IAPD ↗ · 925-314-8500

$358.9MRegulatory AUM
9Advisory reps
11Employees
0Clients
0Planning clients
0Private funds
20States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
January 2026 — PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) left the SEC roster (was $358.9M RAUM, 9 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
49
April 2025 — PROSPERITY FINANCIAL GROUP, INC. notice-filed in CO, HI, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2025 — PROSPERITY FINANCIAL GROUP, INC. reported RAUM up 37% ($261.7M -> $358.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
53
April 2024 — PROSPERITY FINANCIAL GROUP, INC. notice-filed in MA, NH, NM, SC, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.