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PROSPERITY FINANCIAL GROUP, INC.

SAN RAMON, CA · CRD 339321 · IAPD ↗ · 401kprosperityfg.com · 925-314-8500

$503.0MRegulatory AUM
8Advisory reps
10Employees
0Clients
0Planning clients
0Private funds
21States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — PROSPERITY FINANCIAL GROUP, INC. notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
August 2026 — PROSPERITY FINANCIAL GROUP, INC. added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2026 — PROSPERITY FINANCIAL GROUP, INC. crossed $500M in regulatory AUM ($358.9M -> $503.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
98
January 2026 — PROSPERITY FINANCIAL GROUP, INC. (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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