{
  "crd_number": 286028,
  "slug": "prosperity-asset-management-llc-louisville-ky-286028",
  "primary_business_name": "PROSPERITY ASSET MANAGEMENT, LLC",
  "legal_name": "PROSPERITY ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Louisville",
  "state": "KY",
  "country": "United States",
  "cbsa_code": "31140",
  "metro": {
    "cbsa_code": "31140",
    "common_name": "Louisville",
    "msa_name": "Louisville/Jefferson County, KY-IN",
    "path": "/advisors/ky/louisville"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2017-01-03",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-06-10",
  "carried_forward": false,
  "raum_total": 56591359.0,
  "raum_discretionary": 56591359.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 3,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 38615255.0,
      "count": 179
    },
    "high_net_worth_individuals": {
      "raum": 17976104.0,
      "count": 16
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "FL",
    "IN",
    "KY",
    "OH"
  ],
  "websites": [
    "https://linkedin.com/company/prosperity-asset-management",
    "https://prosperityassetmanagement.com",
    "https://thefinancialhq.com/AROBERTSCOM"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/286028",
  "disclosure_items": [
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "LOUISVILLE",
  "url": "https://advisorcensus.com/firm/prosperity-asset-management-llc-louisville-ky-286028",
  "display_name": "Prosperity Asset Management, LLC",
  "summary": "Prosperity Asset Management, LLC is a state-registered investment advisory firm in Louisville, KY, registered since 2017, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 10, 2026.",
  "citation": "AdvisorCensus. Prosperity Asset Management, LLC (CRD 286028): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Prosperity Asset Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Prosperity Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Prosperity Asset Management, LLC located?",
      "a": "Prosperity Asset Management, LLC's principal office is in Louisville, KY, according to its Form ADV."
    },
    {
      "q": "Is Prosperity Asset Management, LLC registered with the SEC or a state?",
      "a": "Prosperity Asset Management, LLC is a state-registered investment advisory firm, registered since 2017. Status as filed: APPROVED. CRD 286028."
    },
    {
      "q": "How much does Prosperity Asset Management, LLC manage?",
      "a": "Prosperity Asset Management, LLC reports $56,591,359 in regulatory assets under management in its Form ADV filing dated June 10, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Prosperity Asset Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (179); high net worth individuals (16)."
    },
    {
      "q": "Does Prosperity Asset Management, LLC report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/286028"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/prosperity-asset-management-llc-louisville-ky-286028.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 179,
      "fewer_than_5": false,
      "raum": 38615255.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 16,
      "fewer_than_5": false,
      "raum": 17976104.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/286028",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}