Hedge Fund Database

PROSPERITY FINANCIAL GROUP, INC.

Adviser information for PROSPERITY FINANCIAL GROUP, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 9
Registered Broker-Dealer Representatives 5
Registered State Investment Advisers 9
Licensed Agents of an Insurance Company 5
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,109 $261.7M
Non-Discretionary 0 $0
Total 1,109 $261.7M

Clients

Type Number RAUM
Individuals 997 $132.2M
HNW Individuals 98 $127.9M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 13 $1.6M
Charitable organizations <5 $27,290
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-100511
SEC ERA File Number 801-100511
SEC CIK Numbers 1991334
SEC CRD Numbers 145540
Legal Entity Identifier None

Principal Office

2333 SAN RAMON VALLEY BLVD.
SUITE 200
SAN RAMON
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 925-314-8500, Fax: 925-314-8504

Websites

www.prosperityfg.com www.facebook.com/prosperityfinancialgroup www.lilywealthmanagement.com www.linkedin.com/in/elliotkallen www.linkedin.com/company/prosperity-financial-group/ www.youtube.com/channel/ucwilejf3374hhpoyf_e0akg vimeo.com/channels/1514952 www.prosperityfinancialgroup.com www.401kprosperityfg.com

Chief Compliance Officer

ELLIOT KALLEN
PARTNER
2333 SAN RAMON VALLEY BLVD.
SUITE 200
SAN RAMON
CA
United States
Tel: 925-314-8503
Fax: 925-314-8504
(Full email address available in API data)

Regulatory Contact

YVETTE MAYS
OPERATIONS MANAGER
2333 SAN RAMON VALLEY BLVD.
SUITE 200
SAN RAMON
CA
United States
Tel: 925-314-8501
Fax: 925-314-8504
(Full email address available in API data)

Industry Affiliates

PROSPERITY WEALTH MANAGEMENT, INC. Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
KALLEN, ELLIOT, HERBERT Individual – PRESIDENT & CHIEF COMPLIANCE OFFICER 03/2000 > 75%

No. Employees, Historic

20100201920202021202220232024202513 on 4/2/201913 on 4/25/201913 on 4/26/201913 on 1/15/20209 on 3/23/20209 on 3/24/20209 on 5/15/20209 on 5/15/20209 on 7/9/20209 on 1/26/20218 on 3/1/202111 on 3/31/202211 on 3/31/202211 on 10/11/202211 on 10/31/202211 on 3/17/20238 on 3/31/20238 on 4/28/20238 on 7/11/20239 on 3/29/2024

RAUM, Historic

300M150M02019202020212022202320242025167300527 on 4/2/2019167300527 on 4/25/2019167300527 on 4/26/2019167300527 on 1/15/2020152349747 on 3/23/2020152349747 on 3/24/2020152349747 on 5/15/2020152349747 on 5/15/2020152349747 on 7/9/2020152349747 on 1/26/2021201781841 on 3/1/2021245188800 on 3/31/2022245188800 on 3/31/2022245188800 on 10/11/2022245188800 on 10/31/2022245188800 on 3/17/2023213169347 on 3/31/2023213169347 on 4/28/2023213169347 on 7/11/2023261720996 on 3/29/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251059 on 4/2/20191059 on 4/25/20191059 on 4/26/20191059 on 1/15/2020917 on 3/23/2020917 on 3/24/2020917 on 5/15/2020917 on 5/15/2020917 on 7/9/2020917 on 1/26/2021955 on 3/1/20211109 on 3/31/20221109 on 3/31/20221109 on 10/11/20221109 on 10/31/20221109 on 3/17/20231100 on 3/31/20231100 on 4/28/20231100 on 7/11/20231109 on 3/29/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 252K 2K –
ABBVIE INC COM 776K 5K –
ACCENTURE PLC IRELAND SHS CLASS A 1M 3K –
ADOBE INC COM 432K 777 –
ADVANCED MICRO DEVICES INC COM 546K 3K –
ALLEGRO MICROSYSTEMS INC COM 279K 10K –
ALPHABET INC CAP STK CL A 3M 17K –
ALPHABET INC CAP STK CL C 820K 4K –
AMAZON COM INC COM 3M 13K –
AMERICAN CENTY ETF TR US LARGE CAP VLU 3M 47K –
AMERICAN CENTY ETF TR US EQT ETF 226K 3K –
AMERICAN CENTY ETF TR US QUALITY GROW 2M 22K –
AMERICAN CENTY ETF TR SUSTAINABLE GRWT 2M 28K –
APPLE INC COM 12M 59K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 930K 2K –
BROADCOM INC COM 1M 916 –
CAPITAL GRP FIXED INCM ETF T CORE PLUS INCM 658K 30K –
CATERPILLAR INC COM 601K 2K –
CHEVRON CORP NEW COM 604K 4K –
CISCO SYS INC COM 320K 7K –
CLEANSPARK INC COM NEW 182K 11K –
COMFORT SYS USA INC COM 221K 728 –
COMSTOCK INC COM NEW 6K 37K –
COSTCO WHSL CORP NEW COM 3M 3K –
DEERE & CO COM 315K 844 –
DEXCOM INC COM 330K 3K –
DISNEY WALT CO COM 538K 5K –
DOLLAR GEN CORP NEW COM 204K 2K –
DOMINOS PIZZA INC COM 317K 613 –
EATON CORP PLC SHS 414K 1K –
ELEVANCE HEALTH INC COM 417K 769 –
ELI LILLY & CO COM 2M 2K –
EMCOR GROUP INC COM 340K 931 –
ENERGY TRANSFER L P COM UT LTD PTN 171K 11K –
EXCHANGE TRADED CONCEPTS TRU INDIA INTERNET & 570K 37K –
EXXON MOBIL CORP COM 227K 2K –
FERRARI N V COM 715K 2K –
FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 324K 3K –
FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 288K 16K –
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 2M 22K –
FIRST TR EXCHANGE TRADED FD INDXX AEROSPACE 1M 37K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 4M 74K –
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 2M 34K –
FIRST TR EXCHANGE-TRADED FD NASDQ ARTFCIAL 1M 24K –
FIRST TR EXCHANGE-TRADED FD FT VEST RIS 2M 89K –
FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 281K 9K –
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 2M 29K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 316K 5K –
FIRST TR EXCHANGE-TRADED FD RBA INDL ETF 2M 23K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 5M 97K –
FIRST TR EXCHNG TRADED FD VI ACTV FCTR MDCP 568K 19K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S EQT 3M 86K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 1M 37K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 5M 189K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 259K 9K –
FRANKLIN TEMPLETON ETF TR ULTRA SHORT BOND 2M 61K –
FRANKLIN TEMPLETON ETF TR FRANKLIN FOCUSED 2M 42K –
GLADSTONE INVT CORP COM 505K 36K –
GLOBAL X FDS US INFR DEV ETF 2M 44K –
GLOBAL X FDS RBTCS ARTFL INTE 2M 66K –
GLOBAL X FDS INTERNET OF THNG 434K 12K –
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 793K 7K –
HEARTCORE ENTERPRISES INC COM 76K 109K –
HOME DEPOT INC COM 1M 4K –
HUBSPOT INC COM 326K 552 –
INTERNATIONAL BUSINESS MACHS COM 263K 2K –
INTUITIVE SURGICAL INC COM NEW 403K 907 –
INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 480K 5K –
INVESCO EXCHANGE TRADED FD T DORSEY WRIGHT MO 505K 5K –
ISHARES INC CORE MSCI EMKT 260K 5K –
ISHARES SILVER TR ISHARES 256K 10K –
ISHARES TR RUS 1000 GRW ETF 265K 727 –
ISHARES TR RUSSELL 2000 ETF 232K 1K –
ISHARES TR US TREAS BD ETF 229K 10K –
ISHARES TR U.S. MED DVC ETF 208K 4K –
ISHARES TR CORE S&P MCP ETF 2M 33K –
ISHARES TR CORE S&P500 ETF 587K 1K –
ISHARES TR RUSSELL 3000 ETF 242K 783 –
ISHARES TR ISHARES SEMICDTR 2M 6K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 2M 44K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2M 42K –
JOHNSON & JOHNSON COM 617K 4K –
JPMORGAN CHASE & CO. COM 1M 6K –
KBR INC COM 329K 5K –
KLA CORP COM NEW 895K 1K –
LAM RESEARCH CORP COM 384K 361 –
LANTHEUS HLDGS INC COM 295K 4K –
LEXICON PHARMACEUTICALS INC COM NEW 53K 32K –
LULULEMON ATHLETICA INC COM 419K 1K –
LULUS FASHION LOUNGE HOLDING COM 36K 19K –
MARSH & MCLENNAN COS INC COM 1M 6K –
MARTIN MARIETTA MATLS INC COM 236K 435 –
MASTERCARD INCORPORATED CL A 560K 1K –
MEDICAL PPTYS TRUST INC COM 84K 19K –
MERCK & CO INC COM 417K 3K –
META PLATFORMS INC CL A 2M 3K –
MGM RESORTS INTERNATIONAL COM 492K 11K –
MICROSOFT CORP COM 8M 18K –
NETFLIX INC COM 221K 327 –
NVIDIA CORPORATION COM 6M 49K –
PALANTIR TECHNOLOGIES INC CL A 1M 46K –
PARKER-HANNIFIN CORP COM 217K 429 –
PEPSICO INC COM 225K 1K –
PFIZER INC COM 262K 9K –
PROCTER AND GAMBLE CO COM 680K 4K –
PROSHARES TR LARGE CAP CRE 713K 11K –
PROSHARES TR S&P 500 DV ARIST 288K 3K –
PROSHARES TR S&P 500 HIGH INC 3M 78K –
PROSHARES TR S&P MDCP 400 DIV 2M 25K –
PUTNAM ETF TRUST FOCSD LARCP GWT 4M 117K –
PUTNAM ETF TRUST FOCUSED LAR CAP 5M 129K –
PUTNAM ETF TRUST BDC INCOME ETF 3M 83K –
REPUBLIC SVCS INC COM 636K 3K –
ROYAL CARIBBEAN GROUP COM 828K 5K –
S&P GLOBAL INC COM 463K 1K –
SALESFORCE INC COM 251K 978 –
SAMSARA INC COM CL A 471K 14K –
SELECT SECTOR SPDR TR ENERGY 365K 4K –
SERVICENOW INC COM 485K 617 –
SNOWFLAKE INC CL A 203K 2K –
SNOWFLAKE INC CL A 27K 200 –
SOUTHERN CO COM 517K 7K –
SPDR GOLD TR GOLD SHS 453K 2K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 453K 13K –
SPDR S&P 500 ETF TR TR UNIT 2M 3K –
SPDR SER TR BLOOMBERG 3-12 M 2M 19K –
SPDR SER TR AEROSPACE DEF 209K 1K –
SPDR SER TR PORTFOLI S&P1500 935K 14K –
SPDR SER TR PORTFOLIO S&P500 910K 14K –
TESLA INC COM 847K 4K –
TEXTRON INC COM 365K 4K –
TRANSDIGM GROUP INC COM 284K 222 –
UNITEDHEALTH GROUP INC COM 1M 2K –
VANGUARD INDEX FDS TOTAL STK MKT 371K 1K –
VANGUARD INDEX FDS GROWTH ETF 615K 2K –
VANGUARD INDEX FDS VALUE ETF 393K 2K –
VANGUARD WORLD FD MEGA CAP INDEX 291K 1K –
VIRTUS CONVERTIBLE & INCOME COM 84K 26K –
VISA INC COM CL A 1M 5K –
WALMART INC COM 724K 11K –
WORKDAY INC CL A 229K 1K –
ZOETIS INC CL A 723K 4K –