Hedge Fund Database

PROSPERITY PLANNING

PROSPERITY PLANNING, INC. Legal Name

Adviser information for PROSPERITY PLANNING last updated from Form ADV on March 13th, 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 Missouri, United States

Employees

Total Number of Employees 11
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,204 $409.7M
Non-Discretionary 7 $7.0M
Total 1,211 $416.7M

Clients

Type Number RAUM
Individuals 208 $88.2M
HNW Individuals 127 $319.6M
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 $5.2M
Charitable organizations 8 $3.1M
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 <5 $565,800
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-113944
SEC ERA File Number 801-113944
SEC CIK Numbers 1843292
SEC CRD Numbers 298268
Legal Entity Identifier None

Principal Office

1805 NW PLATTE ROAD
SUITE 100
RIVERSIDE
MO
United States
Monday - Friday, 8:30 - 5:00 PM
Tel: 816-587-7526, Fax: 816-587-0960

Websites

www.prosperityplanninginc.com www.linkedin.com/company/prosperity-planning-inc/ www.facebook.com/profile.php?id=100075974772491

Chief Compliance Officer

LUCINDA LYNN RICHEY
PRESIDENT, PARTNER, WEALTH MANAGER
1805 NW PLATTE ROAD
SUITE 100
RIVERSIDE
MO
United States
Tel: 816-587-7526
Fax: 816-587-0960
(Full email address available in API data)

Regulatory Contact

JESSICA HUGHES
OPERATIONS MANAGER
1805 NW PLATTE ROAD
SUITE 100
RIVERSIDE
MO
United States
Tel: 816-587-7526
Fax: 816-587-0960
(Full email address available in API data)

Industry Affiliates

None

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
Reiter, Daniel, Scott Individual – PARTNER 01/2019 25-50%
RICHEY, LUCINDA, LYNN Individual – PRESIDENT, PARTNER, CHIEF COMPLIANCE OFFICER 08/2018 10-25%
BORUM, KENNETH, AUSTIN Individual – VICE PRESIDENT, PARTNER 08/2018 10-25%
NOBLE, RYAN, KENT Individual – PARTNER 08/2018 25-50%

No. Employees, Historic

2010020192020202120222023202420259 on 12/9/20199 on 1/2/20209 on 1/8/20209 on 3/2/20209 on 3/23/20209 on 3/23/20209 on 6/29/202010 on 8/31/202011 on 9/22/202011 on 9/25/202011 on 3/22/202111 on 6/18/202111 on 2/16/202211 on 3/12/202212 on 6/16/202212 on 8/24/202211 on 3/9/202311 on 8/8/202311 on 3/13/2024

RAUM, Historic

500M250M02019202020212022202320242025181774198 on 12/9/2019181774198 on 1/2/2020181774198 on 1/8/2020181774198 on 3/2/2020254533041 on 3/23/2020254533041 on 3/23/2020254533041 on 6/29/2020254533041 on 8/31/2020254533041 on 9/22/2020254533041 on 9/25/2020294308199 on 3/22/2021294308199 on 6/18/2021294308199 on 2/16/2022370348986 on 3/12/2022370348986 on 6/16/2022370348986 on 8/24/2022342073314 on 3/9/2023342073314 on 8/8/2023416710344 on 3/13/2024

No. Clients, Historic

40020002019202020212022202320242025214 on 12/9/2019214 on 1/2/2020214 on 1/8/2020214 on 3/2/2020262 on 3/23/2020262 on 3/23/2020262 on 6/29/2020262 on 8/31/2020262 on 9/22/2020262 on 9/25/2020273 on 3/22/2021273 on 6/18/2021273 on 2/16/2022306 on 3/12/2022306 on 6/16/2022306 on 8/24/2022327 on 3/9/2023327 on 8/8/2023347 on 3/13/2024

Holdings

From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMERICAN CENTY ETF TR AVANTIS EMGMKT 7M 114K –
AMERICAN CENTY ETF TR AVANTIS US LARG 1M 19K –
AMERICAN CENTY ETF TR AVANTIS US MID C 1M 21K –
AMERICAN CENTY ETF TR INTERNATIONAL LR 444K 8K –
AMERICAN CENTY ETF TR INTL EQT ETF 890K 14K –
AMERICAN CENTY ETF TR INTL SMCP VLU 10M 155K –
AMERICAN CENTY ETF TR US EQT ETF 3M 34K –
AMERICAN CENTY ETF TR US LARGE CAP VLU 753K 12K –
AMERICAN CENTY ETF TR US SML CP VALU 3M 29K –
APPLE INC COM 2M 10K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 5K –
BLACKROCK ETF TRUST US EQT FACTOR 227K 5K –
CBRE GROUP INC CL A 4M 41K –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 408K 16K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 840K 23K –
DIMENSIONAL ETF TRUST INTL SMALL CAP V 1M 54K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 3M 96K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 16M 620K –
IDEXX LABS INC COM 341K 700 –
IMMUCELL CORP COM PAR 78K 16K –
ISHARES INC CORE MSCI EMKT 211K 4K –
ISHARES TR 0-3 MNTH TREASRY 1M 11K –
ISHARES TR 0-5 YR TIPS ETF 2M 15K –
ISHARES TR CORE 1 5 YR USD 35M 736K –
ISHARES TR CORE INTL AGGR 2M 37K –
ISHARES TR CORE MSCI EAFE 221K 3K –
ISHARES TR CORE S&P MCP ETF 532K 9K –
ISHARES TR CORE S&P TTL STK 2M 19K –
ISHARES TR CORE S&P500 ETF 1M 2K –
ISHARES TR CORE TOTAL USD 620K 14K –
ISHARES TR CORE US AGGBD ET 3M 27K –
ISHARES TR CRE U S REIT ETF 3M 65K –
ISHARES TR EAFE GRWTH ETF 207K 2K –
ISHARES TR EAFE SML CP ETF 2M 33K –
ISHARES TR EAFE VALUE ETF 333K 6K –
ISHARES TR GNMA BOND ETF 9M 216K –
ISHARES TR IBDS DEC28 ETF 652K 26K –
ISHARES TR IBONDS 24 TRM TS 206K 9K –
ISHARES TR IBONDS 27 ETF 390K – –
ISHARES TR IBONDS 28 TRM TS 225K 10K –
ISHARES TR IBONDS DEC 2030 323K 15K –
ISHARES TR IBONDS DEC 29 323K 14K –
ISHARES TR IBONDS DEC2026 392K – –
ISHARES TR IBONDS DEC25 ETF 394K – –
ISHARES TR IBOXX INV CP ETF 664K 6K –
ISHARES TR INTL DEV RE ETF 268K 14K –
ISHARES TR ISHS 1-5YR INVS 11M 206K –
ISHARES TR MSCI EAFE ETF 18M 228K –
ISHARES TR MSCI EMG MKT ETF 1M 31K –
ISHARES TR MSCI INDIA ETF 327K 6K –
ISHARES TR MSCI INTL VLU FT 5M 196K –
ISHARES TR MSCI USA QLT FCT 248K 1K –
ISHARES TR NATIONAL MUN ETF 3M 27K –
ISHARES TR RUS 1000 GRW ETF 839K 2K –
ISHARES TR RUS 1000 VAL ETF 2M 10K –
ISHARES TR RUS 2000 GRW ETF 974K 4K –
ISHARES TR RUS 2000 VAL ETF 3M 23K –
ISHARES TR RUS MD CP GR ETF 316K 3K –
ISHARES TR RUS MDCP VAL ETF 771K 6K –
ISHARES TR RUSSELL 2000 ETF 338K 2K –
ISHARES TR RUSSELL 3000 ETF 871K 3K –
ISHARES TR S&P 500 GRWT ETF 2M 26K –
ISHARES TR S&P 500 VAL ETF 15M 81K –
ISHARES TR S&P MC 400GR ETF 633K 7K –
ISHARES TR S&P MC 400VL ETF 3M 26K –
ISHARES TR S&P SML 600 GWT 298K 2K –
ISHARES TR SHRT NAT MUN ETF 3M 30K –
ISHARES TR SP SMCP600VL ETF 226K 2K –
ISHARES TR TIPS BD ETF 1M 14K –
ISHARES U S ETF TR GSCI CMDTY STGY 516K 19K –
LOWES COS INC COM 217K 986 –
NEWELL BRANDS INC COM 512K 80K –
REALTY INCOME CORP COM 1M 20K –
SPDR DOW JONES INDL AVERAGE UT SER 1 315K 805 –
SPDR S&P 500 ETF TR TR UNIT 3M 5K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 987K 2K –
SPDR SER TR NUVEEN BLMBRG SH 1M 22K –
SPDR SER TR PRTFLO S&P500 GW 990K 12K –
TYLER TECHNOLOGIES INC COM 671K 1K –
VANGUARD BD INDEX FDS SHORT TRM BOND 6M 73K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 2M 34K –
VANGUARD INDEX FDS GROWTH ETF 17M 45K –
VANGUARD INDEX FDS LARGE CAP ETF 386K 2K –
VANGUARD INDEX FDS MCAP GR IDXVIP 7M 32K –
VANGUARD INDEX FDS MCAP VL IDXVIP 11M 73K –
VANGUARD INDEX FDS MID CAP ETF 276K 1K –
VANGUARD INDEX FDS REAL ESTATE ETF 303K 4K –
VANGUARD INDEX FDS SM CP VAL ETF 12M 66K –
VANGUARD INDEX FDS SML CP GRW ETF 5M 19K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
VANGUARD INDEX FDS VALUE ETF 4M 23K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 724K 17K –
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 447K 4K –
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 2M 39K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 296K 3K –
VANGUARD MALVERN FDS STRM INFPROIDX 13M 260K –
VANGUARD MUN BD FDS TAX EXEMPT BD 1M 21K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 1M 25K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 863K 11K –
VANGUARD STAR FDS VG TL INTL STK F 641K 11K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 1M 24K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 265K 2K –