Prosperity Investment Advisors, Inc.
State-registered
Wealth Manager · Boutique (under $100M)
CRD 148473
· SEC file 801-69672
·
· PROSPERITYIA.COM
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ADV data as of Sep 18, 2023
- Regulatory AUM
- $12.0M
- Discretionary
- $0
- Clients
- 43
- Avg AUM / client
- $279K
- Accounts
- 44
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 39 | $10.0M | 83.3% |
| High net worth individuals | 1 | $1.0M | 8.33% |
| Pension and profit sharing plans | 3 | $1.0M | 8.33% |
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 09/18/2023 | 990 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $1.2M (10% of AUM) Sep 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Sep 18, 2023.
View current Form ADV (SEC/IAPD) ↗