← Tributary

PROSPERITAS FINANCIAL, LLC

VALENCIA, CA · CRD 315768 · IAPD ↗ · 661-255-9555

$812.5MRegulatory AUM
23Advisory reps
33Employees
0Clients
0Planning clients
0Private funds
19States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2026 — PROSPERITAS FINANCIAL, LLC notice-filed in NC, OK, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2026 — PROSPERITAS FINANCIAL, LLC reported RAUM up 33% ($612.7M -> $812.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
April 2026 — PROSPERITAS FINANCIAL, LLC grew from 16 to 23 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
April 2025 — PROSPERITAS FINANCIAL, LLC notice-filed in UT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2025 — PROSPERITAS FINANCIAL, LLC now reports custody of client assets ($68.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2025 — PROSPERITAS FINANCIAL, LLC crossed $500M in regulatory AUM ($391.8M -> $612.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
71
April 2025 — PROSPERITAS FINANCIAL, LLC grew from 13 to 16 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
51
April 2024 — PROSPERITAS FINANCIAL, LLC notice-filed in AR, CO, NY, OR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2024 — PROSPERITAS FINANCIAL, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
72
April 2024 — PROSPERITAS FINANCIAL, LLC grew from 9 to 13 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
April 2024 — PROSPERITAS FINANCIAL, LLC reported RAUM up 77% ($221.8M -> $391.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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