# Prosperity Road, LLC

> Prosperity Road, LLC is an SEC-registered investment advisory firm in Santa Ana, CA, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 10, 2026.

- CRD: 281894
- Filed as: PROSPERITY ROAD, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Santa Ana, CA
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/281894
- AdvisorCensus page: https://advisorcensus.com/firm/prosperity-road-llc-santa-ana-ca-281894

## Quick answers

**How is Prosperity Road, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Prosperity Road, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Prosperity Road, LLC located?**
Prosperity Road, LLC's principal office is in Santa Ana, CA, according to its Form ADV.

**Is Prosperity Road, LLC registered with the SEC or a state?**
Prosperity Road, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 281894.

**How much does Prosperity Road, LLC manage?**
Prosperity Road, LLC reports $172,311,682 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (98% discretionary).

**How have Prosperity Road, LLC's assets and staff changed since 2021?**
In the Form ADV data for Prosperity Road, LLC: Regulatory assets under management: $120,826,853 in the October 2021 data and $172,311,682 in the October 2026 data, up 43%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Prosperity Road, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (39); high net worth individuals (25); corporations or other businesses not listed above (5).

**Which custodians does Prosperity Road, LLC use?**
Prosperity Road, LLC'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 Road, LLC 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/281894

## From the Form ADV filing

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

### 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: $172,311,682
- Discretionary: $169,014,099
- Non-discretionary: $3,297,583

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 39 | $16,733,319 |
| High net worth individuals | 25 | $109,605,669 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $3,297,583 |
| Charitable organizations | Fewer than 5 | $628,756 |
| Corporations or other businesses not listed above | 5 | $42,046,355 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2020 (6 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, GA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- prosperityroad.com
- Facebook facebook.com
- LinkedIn @prosperity-road-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $120,826,853 | 3 | March 25, 2021 |
| October 2022 | $150,302,053 | 3 | March 15, 2022 |
| October 2023 | $134,517,675 | 4 | June 1, 2023 |
| October 2024 | $143,336,933 | 4 | September 9, 2024 |
| October 2025 | $156,902,175 | 4 | March 14, 2025 |
| October 2026 | $172,311,682 | 3 | March 10, 2026 |

Regulatory assets under management: $120,826,853 in the October 2021 data and $172,311,682 in the October 2026 data, up 43%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Prosperity Road, LLC (CRD 281894): Form ADV filing data as of October 2026.