PROSPERITY ROAD, LLC
Adviser information for PROSPERITY ROAD, LLC last updated from Form ADV on March 14th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 62 | $139.2M |
| Non-Discretionary | 1 | $4.2M |
| Total | 63 | $143.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 35 | $32.4M |
| HNW Individuals | 21 | $71.8M |
| 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 | $4.2M |
| Charitable organizations | <5 | $618,866 |
| 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 | $34.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-118900 |
|---|---|
| SEC ERA File Number | 801-118900 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281894 |
| Legal Entity Identifier | None |
Principal Office
120 W. 5TH STREETSUITE 220
SANTA ANA
CA
United States
Monday - Friday, 9AM -5PM EST
Tel: (714) 241-0212, Fax: (714) 241-0213
Chief Compliance Officer
EMILY T. HERMENO
PRINCIPAL
120 W. 5TH STREET,
SUITE 220
SANTA ANA
CA
United States
Tel:
(714) 241-0212
Fax:
(714) 241-0213
E****@********************M
(Full email address available in API data)
Industry Affiliates
| FINANCIAL ADVOCATES INC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| E4 VANTAGE, LLC | Domestic Entity | – | PARENT / HOLDING COMPANY | 10/2015 | > 75% |
| HERMENO, EMILY, TUBOLA | Individual | – | PRINCIPAL AND CHIEF COMPLIANCE OFFICER | 10/2015 | < 5% |
| HERMENO, EMILY, TUBOLA | Individual | E4 VANTAGE, LLC | PRINCIPAL | 05/2015 | > 75% |
| MCGRATH, MICHAEL, WILLIAM | Individual | – | MINORITY OWNER | 01/2016 | 10-25% |