# Pruneyard Financial Group, Inc.

> 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.

- CRD: 117378
- Filed as: PRUNEYARD FINANCIAL GROUP, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Cupertino, CA
- Filing period: October 2026
- Form ADV filing dated: June 8, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/117378
- AdvisorCensus page: https://advisorcensus.com/firm/pruneyard-financial-group-inc-cupertino-ca-117378

## Quick answers

**How is Pruneyard Financial Group, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Pruneyard Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management.

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

**Is Pruneyard Financial Group, Inc. registered with the SEC or a state?**
Pruneyard Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 117378.

**How much does Pruneyard Financial Group, Inc. manage?**
Pruneyard Financial Group, Inc. reports $90,871,769 in regulatory assets under management in its Form ADV filing dated June 8, 2026 (99% discretionary).

**How have Pruneyard Financial Group, Inc.'s assets and staff changed since 2021?**
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.

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

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

**Does Pruneyard 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/117378

**What changed in Pruneyard Financial Group, Inc.'s recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

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

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: $90,871,769
- Discretionary: $90,072,019
- Non-discretionary: $799,750

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 56 | $16,473,918 |
| High net worth individuals | 39 | $73,526,217 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $672,312 |
| Corporations or other businesses not listed above | 2 | $199,322 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2001 (24 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- pruneyardfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $130,772,040 | 3 | September 17, 2021 |
| October 2022 | $145,692,847 | 3 | March 31, 2022 |
| October 2023 | $115,734,200 | 3 | March 31, 2023 |
| October 2024 | $123,395,435 | 3 | April 10, 2024 |
| October 2025 | $140,335,812 | 2 | April 24, 2025 |
| October 2026 | $90,871,769 | 1 | June 8, 2026 |

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.

## Changes in the filing (last 12 months)

### July 2026
- Regulatory assets under management went from $77,025,743 to $90,871,769 (+18%).
- Registered or notice-filed in TX.

### April 2026
- Regulatory assets under management went from $140,335,812 to $77,025,743 (-45%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pruneyard Financial Group, Inc. (CRD 117378): Form ADV filing data as of October 2026.