{ "crd_number": 117378, "slug": "pruneyard-financial-group-inc-cupertino-ca-117378", "primary_business_name": "PRUNEYARD FINANCIAL GROUP, INC.", "legal_name": "PRUNEYARD FINANCIAL GROUP, INC.", "dbas": [], "city": "Cupertino", "state": "CA", "country": "United States", "cbsa_code": "41940", "metro": { "cbsa_code": "41940", "common_name": "San Jose", "msa_name": "San Jose-Sunnyvale-Santa Clara, CA", "path": "/advisors/ca/san-jose" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2001-11-14", "years_registered": 24, "period": "2026-10-01", "filing_date": "2026-06-08", "carried_forward": false, "raum_total": 90871769.0, "raum_discretionary": 90072019.0, "raum_non_discretionary": 799750.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 16473918.0, "count": 56 }, "pension_profit_sharing": { "raum": 672312.0, "count": 1 }, "high_net_worth_individuals": { "raum": 73526217.0, "count": 39 }, "corporations_other_businesses": { "raum": 199322.0, "count": 2 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "CA", "TX" ], "websites": [ "https://pruneyardfinancial.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/117378", "city_as_filed": "CUPERTINO", "url": "https://advisorcensus.com/firm/pruneyard-financial-group-inc-cupertino-ca-117378", "display_name": "Pruneyard Financial Group, Inc.", "summary": "Pruneyard Financial Group, Inc. is an SEC-registered investment advisory firm in Cupertino, CA, registered since 2001, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 8, 2026.", "citation": "AdvisorCensus. Pruneyard Financial Group, Inc. (CRD 117378): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Pruneyard Financial Group, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Pruneyard Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Pruneyard Financial Group, Inc. located?", "a": "Pruneyard Financial Group, Inc.'s principal office is in Cupertino, CA, according to its Form ADV." }, { "q": "Is Pruneyard Financial Group, Inc. registered with the SEC or a state?", "a": "Pruneyard Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 117378." }, { "q": "How much does Pruneyard Financial Group, Inc. manage?", "a": "Pruneyard Financial Group, Inc. reports $90,871,769 in regulatory assets under management in its Form ADV filing dated June 8, 2026 (99% discretionary)." }, { "q": "How have Pruneyard Financial Group, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Pruneyard Financial Group, Inc.: Regulatory assets under management: $130,772,040 in the October 2021 data and $90,871,769 in the October 2026 data, down 31%. Total employees: 3 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Pruneyard Financial Group, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (56); high net worth individuals (39); corporations or other businesses not listed above (2)." }, { "q": "Which custodians does Pruneyard Financial Group, Inc. use?", "a": "Pruneyard Financial Group, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Pruneyard 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/117378" }, { "q": "What changed in Pruneyard Financial Group, Inc.'s recent Form ADV filings?", "a": "In the July 2026 filing data: Regulatory assets under management went from $77,025,743 to $90,871,769 (+18%). Registered or notice-filed in TX." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 130772040.0, "total_employees": 3, "filing_date": "2021-09-17" }, { "period": "2022-10-01", "regulatory_assets_under_management": 145692847.0, "total_employees": 3, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 115734200.0, "total_employees": 3, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 123395435.0, "total_employees": 3, "filing_date": "2024-04-10" }, { "period": "2025-10-01", "regulatory_assets_under_management": 140335812.0, "total_employees": 2, "filing_date": "2025-04-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": 90871769.0, "total_employees": 1, "filing_date": "2026-06-08" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Regulatory assets under management went from $77,025,743 to $90,871,769 (+18%).", "Registered or notice-filed in TX." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $140,335,812 to $77,025,743 (-45%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "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/pruneyard-financial-group-inc-cupertino-ca-117378.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 56, "fewer_than_5": false, "raum": 16473918.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 39, "fewer_than_5": false, "raum": 73526217.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 1, "fewer_than_5": false, "raum": 672312.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 2, "fewer_than_5": false, "raum": 199322.0 } ], "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/117378", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }