{
  "crd_number": 339321,
  "slug": "prosperity-financial-group-inc-san-ramon-ca-339321",
  "primary_business_name": "PROSPERITY FINANCIAL GROUP, INC.",
  "legal_name": "PROSPERITY FINANCIAL GROUP, INC.",
  "dbas": [
    "CADENCE CAPITAL INVESTMENTS"
  ],
  "city": "San Ramon",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41860",
  "metro": {
    "cbsa_code": "41860",
    "common_name": "San Francisco",
    "msa_name": "San Francisco-Oakland-Fremont, CA",
    "path": "/advisors/ca/san-francisco"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2025-12-01",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-07-27",
  "carried_forward": false,
  "raum_total": 502955078.0,
  "raum_discretionary": 502955078.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 10,
  "advisory_employees": 8,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 29516.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 133218600.0,
      "count": 476
    },
    "pension_profit_sharing": {
      "raum": 10434241.0,
      "count": 13
    },
    "high_net_worth_individuals": {
      "raum": 359272721.0,
      "count": 122
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "HI",
    "ID",
    "IL",
    "LA",
    "MA",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OR",
    "PA",
    "SC",
    "TN",
    "TX",
    "WA",
    "WI"
  ],
  "websites": [
    "https://401kprosperityfg.com",
    "https://facebook.com/PROSPERITYFINANCIALGROUP",
    "https://linkedin.com/IN/ELLIOTKALLEN",
    "https://linkedin.com/company/prosperity-financial-group",
    "https://prosperityfg.com",
    "https://prosperityfinancialgroup.com",
    "https://vimeo.com/channels/1514952",
    "https://youtube.com/channel/UCwILEJf3374hHpoYf_e0aKg"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/339321",
  "city_as_filed": "SAN RAMON",
  "url": "https://advisorcensus.com/firm/prosperity-financial-group-inc-san-ramon-ca-339321",
  "display_name": "Prosperity Financial Group, Inc.",
  "summary": "Prosperity Financial Group, Inc. is an SEC-registered investment advisory firm in San Ramon, CA, registered since 2025, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated July 27, 2026.",
  "citation": "AdvisorCensus. Prosperity Financial Group, Inc. (CRD 339321): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Prosperity Financial Group, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Prosperity Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Prosperity Financial Group, Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated March 10, 2026 states: Hourly rate: $250 an hour (financial planning and consulting services); Flat fee: up to $10,000 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Prosperity Financial Group, Inc. located?",
      "a": "Prosperity Financial Group, Inc.'s principal office is in San Ramon, CA, according to its Form ADV."
    },
    {
      "q": "Is Prosperity Financial Group, Inc. registered with the SEC or a state?",
      "a": "Prosperity Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 339321."
    },
    {
      "q": "How much does Prosperity Financial Group, Inc. manage?",
      "a": "Prosperity Financial Group, Inc. reports $502,955,078 in regulatory assets under management in its Form ADV filing dated July 27, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Prosperity Financial Group, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (476); high net worth individuals (122); pension and profit sharing plans (but not the plan participants or government pension plans) (13)."
    },
    {
      "q": "Which custodians does Prosperity Financial Group, Inc. use?",
      "a": "Prosperity Financial Group, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Prosperity Financial Group, Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/339321"
    },
    {
      "q": "What changed in Prosperity Financial Group, Inc.'s recent Form ADV filings?",
      "a": "In the August 2026 filing data: Registered or notice-filed in IL."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Registered or notice-filed in IL."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $358,866,365 to $502,955,078 (+40%).",
        "Employees performing advisory functions went from 9 to 8.",
        "Added the business name Cadence Capital Investments."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 10, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $250 an hour (financial planning and consulting services)",
      "Flat fee: up to $10,000 (financial planning and consulting services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $250 an hour (financial planning and consulting services)"
        ],
        "quotes": [
          "Our hourly fees are $250. Flat fees generally range from up to $10,000."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $10,000 (financial planning and consulting services)"
        ],
        "quotes": [
          "Our hourly fees are $250. Flat fees generally range from up to $10,000."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 250.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "financial planning and consulting services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 10000.0,
          "period": "one_time",
          "service": "financial planning and consulting services"
        }
      ]
    },
    "quotes": [
      "Our hourly fees are $250. Flat fees generally range from up to $10,000.",
      "Our hourly fees are $250. Flat fees generally range from up to $10,000."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/prosperity-financial-group-inc-san-ramon-ca-339321.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 476,
      "fewer_than_5": false,
      "raum": 133218600.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 122,
      "fewer_than_5": false,
      "raum": 359272721.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 13,
      "fewer_than_5": false,
      "raum": 10434241.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 29516.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/339321",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}