Hedge Fund Database

PROSPERITY WEALTH MANAGEMENT, INC.

Adviser information for PROSPERITY WEALTH MANAGEMENT, 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 50
Investment Advisory/Research 48
Registered Broker-Dealer Representatives 43
Registered State Investment Advisers 49
Licensed Agents of an Insurance Company 43
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,611 $243.4M
Non-Discretionary 0 $0
Total 1,611 $243.4M

Clients

Type Number RAUM
Individuals 1,544 $169.6M
HNW Individuals 55 $71.3M
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 <5 $825,920
Charitable organizations 10 $1.6M
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 32
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Registered representative of a broker-dealerInsurance broker or agent

Identifiers

SEC RIA File Number 801-101485
SEC ERA File Number 801-101485
SEC CIK Numbers 1991463
SEC CRD Numbers 174328
Legal Entity Identifier None

Principal Office

2333 SAN RAMON VALLEY BLVD.
SUITE 200
SAN RAMON
CA
United States
Monday - Friday, 8AM TO 5PM
Tel: 925-791-4444, Fax: None

Websites

www.thinkpwm.com www.charlescerone.com www.gtfs.us www.mattobrien.com www.symmetrywm.com www.cmcarrillofinancialadvising.com/ www.buckeyetaxfinancial.com www.joedurso.net trplanning.com thinkfloresfinancial.com/ rhsc.com/ www.dignitytaxservices.com www.nicoleebrewer.com www.417medicare.com www.kenwessels.com link.edgepilot.com/s/8ca2ff19/dqjeliirhuau3ccc2_4j7g?u=http://www.yourwisewealth.com/ www.lawm.org/

Chief Compliance Officer

ELLIOT KALLEN
PRESIDENT
2333 SAN RAMON VALLEY BLVD.
SUITE 200
SAN RAMON
CA
United States
Tel: 925-791-4444
(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: 925-791-4444
(Full email address available in API data)

Industry Affiliates

FORTUNE FINANCIAL SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
PROSPERITY FINANCIAL GROUP, 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 – CHIEF COMPLIANCE OFFICER AND OWNER 01/2015 25-50%
BENTLEY, GREGORY, JOHN Individual – OWNER 01/2015 25-50%
DANIELS, BLAKE, WILLIAM Individual – OWNER 01/2015 25-50%

No. Employees, Historic

70350201920202021202220232024202550 on 4/25/201950 on 4/26/201950 on 5/9/201950 on 7/15/201950 on 10/7/201950 on 10/10/201950 on 1/3/202048 on 3/19/202048 on 5/15/202048 on 5/20/202048 on 6/10/202048 on 6/10/202048 on 6/23/202048 on 6/23/202048 on 7/24/202048 on 8/25/202048 on 9/2/202048 on 9/10/202048 on 9/17/202048 on 1/19/202148 on 1/26/202161 on 3/3/202161 on 5/11/202161 on 6/15/202161 on 6/15/202161 on 7/1/202161 on 12/7/202156 on 3/31/202256 on 8/4/202256 on 10/11/202256 on 1/25/202356 on 3/23/202350 on 3/28/202350 on 5/1/202350 on 7/12/202350 on 7/14/202350 on 3/29/2024

RAUM, Historic

300M150M02019202020212022202320242025202937313 on 4/25/2019202937313 on 4/26/2019202937313 on 5/9/2019202937313 on 7/15/2019202937313 on 10/7/2019202937313 on 10/10/2019202937313 on 1/3/2020128901000 on 3/19/2020128901000 on 5/15/2020128901000 on 5/20/2020128901000 on 6/10/2020128901000 on 6/10/2020128901000 on 6/23/2020128901000 on 6/23/2020128901000 on 7/24/2020128901000 on 8/25/2020128901000 on 9/2/2020128901000 on 9/10/2020128901000 on 9/17/2020128901000 on 1/19/2021128901000 on 1/26/2021177433437 on 3/3/2021177433437 on 5/11/2021177433437 on 6/15/2021177433437 on 6/15/2021177433437 on 7/1/2021177433437 on 12/7/2021232571980 on 3/31/2022232571980 on 8/4/2022232571980 on 10/11/2022232571980 on 1/25/2023232571980 on 3/23/2023217168317 on 3/28/2023217168317 on 5/1/2023217168317 on 7/12/2023217168317 on 7/14/2023243370500 on 3/29/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025700 on 4/25/2019700 on 4/26/2019700 on 5/9/2019700 on 7/15/2019700 on 10/7/2019700 on 10/10/2019700 on 1/3/20201483 on 3/19/20201483 on 5/15/20201483 on 5/20/20201483 on 6/10/20201483 on 6/10/20201483 on 6/23/20201483 on 6/23/20201483 on 7/24/20201483 on 8/25/20201483 on 9/2/20201483 on 9/10/20201483 on 9/17/20201483 on 1/19/20211483 on 1/26/20211056 on 3/3/20211056 on 5/11/20211056 on 6/15/20211056 on 6/15/20211056 on 7/1/20211056 on 12/7/20211123 on 3/31/20221123 on 8/4/20221123 on 10/11/20221123 on 1/25/20231123 on 3/23/20231330 on 3/28/20231330 on 5/1/20231330 on 7/12/20231330 on 7/14/20231611 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
ACTINIUM PHARMACEUTICALS INC COM 229K 31K –
ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 26K 27K –
ADVANCED MICRO DEVICES INC COM 673K 4K –
ADVANCED MICRO DEVICES INC COM 130K 800 –
AIM ETF PRODUCTS TRUST ALLIANZIM US LGR 429K 15K –
AIRBNB INC COM CL A 481K 3K –
ALPHABET INC CAP STK CL A 1M 8K –
ALPHABET INC CAP STK CL C 316K 2K –
AMAZON COM INC COM 4M 19K –
AMERICAN TOWER CORP NEW COM 263K 1K –
APPLE INC COM 5M 26K –
ARCH CAP GROUP LTD ORD 812K 8K –
ARISTA NETWORKS INC COM 2M 5K –
ARK ETF TR FINTECH INNOVA 302K 11K –
ARM HOLDINGS PLC SPONSORED ADS 810K 5K –
ASML HOLDING N V N Y REGISTRY SHS 909K 889 –
AXON ENTERPRISE INC COM 381K 1K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 329K 808 –
BLOCK INC CL A 549K 9K –
BLOCK INC CL A 32K 500 –
BOEING CO COM 295K 2K –
CELSIUS HLDGS INC COM NEW 2M 28K –
CHEVRON CORP NEW COM 277K 2K –
CHIPOTLE MEXICAN GRILL INC COM 554K 9K –
COHEN & STEERS INFRASTRUCTUR COM 266K 12K –
CONSTELLATION ENERGY CORP COM 467K 2K –
CROWDSTRIKE HLDGS INC CL A 608K 2K –
CURTISS WRIGHT CORP COM 207K 763 –
DATADOG INC CL A COM 372K 3K –
DATADOG INC CL A COM 91K 700 –
DATADOG INC CL A COM 65K 500 –
DECKERS OUTDOOR CORP COM 782K 808 –
DEVON ENERGY CORP NEW COM 345K 7K –
DIGITALOCEAN HLDGS INC COM 238K 7K –
DIREXION SHS ETF TR DAILY SM CP BEAR 803K 43K –
DIREXION SHS ETF TR DAILY SEMICONDUC 1M 48K –
DIREXION SHS ETF TR DAILY JR GLD MIN 285K 8K –
DISNEY WALT CO COM 425K 4K –
DOCUSIGN INC COM 388K 7K –
DOORDASH INC CL A 679K 6K –
DOXIMITY INC CL A 270K 10K –
DRAFTKINGS INC NEW COM CL A 2M 47K –
DUOLINGO INC CL A COM 883K 4K –
DUTCH BROS INC CL A 331K 8K –
E L F BEAUTY INC COM 1M 5K –
ELI LILLY & CO COM 1M 1K –
EMERSON ELEC CO COM 674K 6K –
ETF OPPORTUNITIES TRUST TUTTLE CAP DAILY 1M 41K –
EVERSOURCE ENERGY COM 384K 7K –
EXXON MOBIL CORP COM 2M 14K –
FIDELITY COVINGTON TRUST ENHANCED LARGE 255K 8K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 262K 5K –
FIRST TR EXCHANGE-TRADED FD LIMITED DURATION 341K 18K –
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 296K 9K –
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 570K 7K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 530K 18K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 201K 8K –
GALLAGHER ARTHUR J & CO COM 593K 2K –
GATX CORP COM 265K 2K –
GLOBAL X FDS US INFR DEV ETF 461K 12K –
GLOBAL X FDS ARTIFICIAL ETF 237K 7K –
GLOBAL X FDS CYBRSCURTY ETF 402K 14K –
GLOBAL X FDS GLOBAL X SILVER 352K 11K –
GLOBAL X FDS DEFENSE TECH ETF 227K 7K –
INTERCONTINENTAL HOTELS GROU SPONSORED ADS 235K 2K –
INTERNATIONAL BUSINESS MACHS COM 303K 2K –
INTUITIVE SURGICAL INC COM NEW 592K 1K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 550K 8K –
INVESCO EXCH TRD SLF IDX FD RAFI STRATGIC US 5M 97K –
INVESCO EXCHANGE TRADED FD T OIL & GAS SERVIC 238K 7K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 470K 3K –
INVESCO QQQ TR UNIT SER 1 22M 46K –
ISHARES SILVER TR ISHARES 703K 26K –
ISHARES TR AGENCY BOND ETF 259K 2K –
ISHARES TR S&P 100 ETF 3M 10K –
ISHARES TR 0-3 MNTH TREASRY 1M 14K –
ISHARES TR RUS 1000 GRW ETF 750K 2K –
ISHARES TR RUS TP200 GR ETF 293K 1K –
ISHARES TR IBOXX HI YD ETF 981K 13K –
ISHARES TR ISHARES SEMICDTR 318K 1K –
ISHARES TR PFD AND INCM SEC 388K 12K –
ISHARES TR CORE S&P MCP ETF 2M 36K –
ISHARES TR CORE S&P500 ETF 993K 2K –
ISHARES TR RUS 1000 ETF 618K 2K –
ISHARES TR MSCI USA MMENTM 222K 1K –
J P MORGAN EXCHANGE TRADED F INTL BD OPP ETF 289K 6K –
J P MORGAN EXCHANGE TRADED F BETABUILDERS US 629K 7K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2M 32K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 528K 10K –
JPMORGAN CHASE & CO. COM 684K 3K –
KINSALE CAP GROUP INC COM 301K 780 –
MESOBLAST LTD SPONS ADR 614K 90K –
META PLATFORMS INC CL A 2M 3K –
MICRON TECHNOLOGY INC COM 431K 3K –
MICROSOFT CORP COM 9M 19K –
MICROVISION INC DEL COM NEW 83K 78K –
MONGODB INC CL A 325K 1K –
MOODYS CORP COM 224K 533 –
NETFLIX INC COM 568K 842 –
NICE LTD SPONSORED ADR 426K 2K –
NOVO-NORDISK A S ADR 977K 7K –
NUVEEN AMT FREE MUN CR INC F COM 141K 11K –
NUVEEN S&P 500 BUY-WRITE INC COM 2M 118K –
NVIDIA CORPORATION COM 6M 45K –
OCCIDENTAL PETE CORP COM 418K 7K –
OKTA INC CL A 703K 8K –
OREILLY AUTOMOTIVE INC COM 747K 707 –
OSCAR HEALTH INC CL A 630K 40K –
PACER FDS TR US SM CAP CASH 334K 14K –
PACER FDS TR CASH COWS ETF 792K 21K –
PACER FDS TR SWAN SOS CONS AP 346K 14K –
PALANTIR TECHNOLOGIES INC CL A 495K 20K –
PALO ALTO NETWORKS INC COM 333K 981 –
PIMCO CORPORATE & INCOME OPP COM 596K 42K –
PIMCO DYNAMIC INCOME FD SHS 217K 12K –
PIMCO ETF TR MULTISECTOR BD 757K 30K –
PNC FINL SVCS GROUP INC COM 569K 4K –
PROCTER AND GAMBLE CO COM 2M 15K –
PROSHARES TR ULTRAPRO QQQ 901K 12K –
PROSHARES TR ULTRAPRO SHT QQQ 210K 25K –
PROSHARES TR BITCOIN STRATE 786K 35K –
PROSHARES TR S&P 500 DV ARIST 627K 7K –
REALTY INCOME CORP COM 212K 4K –
RTX CORPORATION COM 388K 4K –
SCHRODINGER INC COM 282K 15K –
SCHWAB STRATEGIC TR US LCAP GR ETF 11M 104K –
SCHWAB STRATEGIC TR US LRG CAP ETF 13M 210K –
SCHWAB STRATEGIC TR US SML CAP ETF 716K 15K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 504K 6K –
SELECT SECTOR SPDR TR TECHNOLOGY 2M 9K –
SELECT SECTOR SPDR TR COMMUNICATION 237K 3K –
SERIES PORTFOLIOS TR UNUSUAL WHLS DEM 344K 9K –
SERIES PORTFOLIOS TR UNUSUAL WHALES 449K 15K –
SERVICENOW INC COM 458K 582 –
SHOPIFY INC CL A 1M 18K –
SIMPLIFY EXCHANGE TRADED FUN ENHANCED INM ETF 1M 42K –
SIMPLIFY EXCHANGE TRADED FUN HEALTH CARE ETF 227K 7K –
SIMPLIFY EXCHANGE TRADED FUN AGGREGATE BOND E 864K 42K –
SOUNDHOUND AI INC CLASS A COM 194K 49K –
SPDR GOLD TR GOLD SHS 759K 4K –
SPDR S&P 500 ETF TR TR UNIT 464K 853 –
SPDR SER TR PORTFOLIO S&P500 244K 4K –
SPDR SER TR NYSE TECH ETF 234K 1K –
SPDR SER TR PORTFOLIO SH TSR 1M 46K –
SPDR SER TR BLOOMBERG 1-3 MO 580K 6K –
STRATEGY SHS DAY HAGAN NED 1M 30K –
SUPER MICRO COMPUTER INC COM 755K 922 –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 420K 2K –
TARGA RES CORP COM 2M 13K –
TESLA INC COM 625K 3K –
THE TRADE DESK INC COM CL A 380K 4K –
TOAST INC CL A 328K 13K –
TRUIST FINL CORP COM 545K 14K –
UBER TECHNOLOGIES INC COM 1M 20K –
VANECK ETF TRUST OIL SERVICES ETF 316K 999 –
VANECK ETF TRUST SEMICONDUCTR ETF 2M 8K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 284K 6K –
VANGUARD INDEX FDS TOTAL STK MKT 477K 2K –
VANGUARD INDEX FDS VALUE ETF 219K 1K –
VANGUARD INDEX FDS S&P 500 ETF SHS 26M 52K –
VANGUARD INDEX FDS GROWTH ETF 415K 1K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 2M 22K –
VANGUARD WORLD FD MEGA CAP VAL ETF 226K 2K –
VANGUARD WORLD FD MEGA GRWTH IND 2M 6K –
VERTEX PHARMACEUTICALS INC COM 582K 1K –
VERTIV HOLDINGS CO COM CL A 287K 3K –
VIRTUS ETF TR II SEIX SR LN ETF 258K 11K –
VISA INC COM CL A 316K 1K –
VUZIX CORP COM NEW 310K 230K –
WALMART INC COM 376K 6K –
WINGSTOP INC COM 210K 498 –
WYNN RESORTS LTD COM 2M 20K –
ZSCALER INC COM 455K 2K –