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PROSPERITY CAPITAL ADVISORS

WESTLAKE, OH · CRD 156480 · IAPD ↗ · 888-240-0064

$4.39BRegulatory AUM
98Advisory reps
244Employees
299Clients
More than 500Planning clients
0Private funds
42States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — PROSPERITY CAPITAL ADVISORS added office(s): 39 -> 41 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
December 2025 — PROSPERITY CAPITAL ADVISORS notice-filed in ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
May 2025 — PROSPERITY CAPITAL ADVISORS notice-filed in OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — PROSPERITY CAPITAL ADVISORS added office(s): 37 -> 39 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
April 2025 — PROSPERITY CAPITAL ADVISORS reported RAUM up 64% ($2.25B -> $3.68B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
October 2024 — PROSPERITY CAPITAL ADVISORS notice-filed in KS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
August 2024 — PROSPERITY CAPITAL ADVISORS notice-filed in SD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
July 2024 — PROSPERITY CAPITAL ADVISORS notice-filed in NM, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2024 — PROSPERITY CAPITAL ADVISORS notice-filed in ID.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — PROSPERITY CAPITAL ADVISORS added office(s): 26 -> 37 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2024 — PROSPERITY CAPITAL ADVISORS reported RAUM up 31% ($1.71B -> $2.25B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2024 — PROSPERITY CAPITAL ADVISORS grew from 63 to 104 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
February 2024 — PROSPERITY CAPITAL ADVISORS notice-filed in UT.
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.