# Prosperity Financial Group, Inc.

> 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.

- CRD: 339321
- Filed as: PROSPERITY FINANCIAL GROUP, INC.
- Also doing business as: CADENCE CAPITAL INVESTMENTS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Ramon, CA
- Filing period: October 2026
- Form ADV filing dated: July 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/339321
- AdvisorCensus page: https://advisorcensus.com/firm/prosperity-financial-group-inc-san-ramon-ca-339321

## Quick answers

**How is Prosperity Financial Group, Inc. compensated?**
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).

**How much does Prosperity Financial Group, Inc. charge?**
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.

**Where is Prosperity Financial Group, Inc. located?**
Prosperity Financial Group, Inc.'s principal office is in San Ramon, CA, according to its Form ADV.

**Is Prosperity Financial Group, Inc. registered with the SEC or a state?**
Prosperity Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 339321.

**How much does Prosperity Financial Group, Inc. manage?**
Prosperity Financial Group, Inc. reports $502,955,078 in regulatory assets under management in its Form ADV filing dated July 27, 2026 (100% discretionary).

**What types of clients does Prosperity Financial Group, Inc. serve?**
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).

**Which custodians does Prosperity Financial Group, Inc. use?**
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.

**Does Prosperity Financial Group, Inc. report any disciplinary disclosures?**
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

**What changed in Prosperity Financial Group, Inc.'s recent Form ADV filings?**
In the August 2026 filing data: Registered or notice-filed in IL.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 10, 2026)

- Hourly rate: $250 an hour (financial planning and consulting services)

> Our hourly fees are $250. Flat fees generally range from up to $10,000.

- Flat fee: up to $10,000 (financial planning and consulting services)

> Our hourly fees are $250. Flat fees generally range from up to $10,000.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $502,955,078
- Discretionary: $502,955,078
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 476 | $133,218,600 |
| High net worth individuals | 122 | $359,272,721 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 13 | $10,434,241 |
| Charitable organizations | 1 | $29,516 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2025 (0 years)
- Employees: 10 total, 8 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, HI, ID, IL, LA, MA, NH, NJ, NM, NV, NY, OR, PA, SC, TN, TX, WA, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- 401kprosperityfg.com
- prosperityfg.com
- prosperityfinancialgroup.com
- vimeo.com/channels/1514952
- Facebook @PROSPERITYFINANCIALGROUP
- LinkedIn @ELLIOTKALLEN
- LinkedIn @prosperity-financial-group
- YouTube @UCwILEJf3374hHpoYf_e0aKg

## Changes in the filing (last 12 months)

### August 2026
- Registered or notice-filed in IL.

### April 2026
- 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.

### January 2026
- Newly registered with the SEC.

### December 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Prosperity Financial Group, Inc. (CRD 339321): Form ADV filing data as of October 2026.