Hedge Fund Database

PROSPERITAS FINANCIAL, LLC

Adviser information for PROSPERITAS FINANCIAL, LLC last updated from Form ADV on March 15th, 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 15
Investment Advisory/Research 13
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 13
Licensed Agents of an Insurance Company 12
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,654 $390.3M
Non-Discretionary 1 $1.5M
Total 1,655 $391.8M

Clients

Type Number RAUM
Individuals 1,056 $179.7M
HNW Individuals 133 $212.1M
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 0 $0
Charitable organizations 0 $0
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 1
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

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

Identifiers

SEC RIA File Number 801-122207
SEC ERA File Number 801-122207
SEC CIK Numbers 2001016
SEC CRD Numbers 315768
Legal Entity Identifier None

Principal Office

25060 AVENUE STANFORD
SUITE 100
VALENCIA
CA
United States
Monday - Friday, 9-5
Tel: 661-255-9555, Fax: None

Websites

twitter.com/prosperitasfin www.youtube.com/channel/ucsrirxfekfi_g2-3vs3sana www.prosperitasfin.com www.instagram.com/prosperitas_financial/?hl=en www.linkedin.com/company/prosperitasfin www.facebook.com/prosperitasfin

Chief Compliance Officer

MARK PETERSEN
COO
25060 AVENUE STANFORD
SUITE 100
VALENCIA
CA
United States
Tel: 661-255-9555
(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
Petersen, Mark, Thomas Individual – CHIEF COMPLIANCE OFFICER & COO 07/2021 25-50%
INGRAM, CHRISTOPHER, MATTHEW Individual – CEO 07/2021 25-50%
Clark, Robert, John Individual – OFFICER 07/2021 25-50%
Zimmerman, Scott Individual – OFFICER 07/2021 25-50%

No. Employees, Historic

20100202120222023202420258 on 7/30/20218 on 8/2/20218 on 8/30/20218 on 8/30/20218 on 8/30/20218 on 11/15/20218 on 12/17/20218 on 12/17/20218 on 1/26/20228 on 2/28/20228 on 6/13/20228 on 8/25/20228 on 9/13/20228 on 9/23/20228 on 10/10/20228 on 1/25/202315 on 3/9/202315 on 3/15/2024

RAUM, Historic

400M200M0202120222023202420250 on 7/30/20210 on 8/2/20210 on 8/30/20210 on 8/30/20210 on 8/30/20210 on 11/15/2021102217417 on 12/17/2021102217417 on 12/17/2021114429666 on 1/26/2022114429666 on 2/28/2022114429666 on 6/13/2022114429666 on 8/25/2022114429666 on 9/13/2022114429666 on 9/23/2022114429666 on 10/10/2022114429666 on 1/25/2023221789751 on 3/9/2023391785314 on 3/15/2024

No. Clients, Historic

2,0001,0000202120222023202420250 on 7/30/20210 on 8/2/20210 on 8/30/20210 on 8/30/20210 on 8/30/20210 on 11/15/2021205 on 12/17/2021205 on 12/17/2021287 on 1/26/2022287 on 2/28/2022287 on 6/13/2022287 on 8/25/2022287 on 9/13/2022287 on 9/23/2022287 on 10/10/2022287 on 1/25/2023675 on 3/9/20231189 on 3/15/2024

Holdings

From latest 13F, filed August 5th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMERICAN TOWER CORP NEW COM 3M 13K –
AMGEN INC COM 1M 3K –
APPLE INC COM 2M 8K –
AT&T INC COM 2M 107K –
BANK AMERICA CORP COM 1M 37K –
BLACKROCK INC COM 4M 5K –
BROADCOM INC COM 4M 2K –
CHEVRON CORP NEW COM 2M 12K –
CITIGROUP INC COM NEW 4M 66K –
COMCAST CORP NEW CL A 2M 44K –
CSX CORP COM 2M 66K –
DIGITAL RLTY TR INC COM 4M 23K –
EATON CORP PLC SHS 2M 8K –
EMERSON ELEC CO COM 3M 26K –
EXXON MOBIL CORP COM 5M 39K –
FIDELITY COVINGTON TRUST MSCI UTILS INDEX 1M 30K –
FIFTH THIRD BANCORP COM 4M 105K –
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 4M 38K –
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 2M 9K –
FRANKLIN TEMPLETON ETF TR FTSE LATN AMRC 352K 18K –
FRANKLIN TEMPLETON ETF TR FTSE UNTD KGDM 8M 299K –
FRANKLIN TEMPLETON ETF TR FTSE JAPAN ETF 5M 177K –
FRANKLIN TEMPLETON ETF TR FTSE CANADA 3M 95K –
GENERAL DYNAMICS CORP COM 1M 5K –
HCA HEALTHCARE INC COM 964K 3K –
HOME DEPOT INC COM 906K 3K –
HONEYWELL INTL INC COM 3M 14K –
INTERNATIONAL BUSINESS MACHS COM 3M 14K –
INTERPUBLIC GROUP COS INC COM 2M 54K –
INVESCO EXCH TRADED FD TR II NATL AMT MUNI 6M 242K –
INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 278K 14K –
INVESCO EXCH TRADED FD TR II PFD ETF 137K 12K –
ISHARES INC MSCI EURZONE ETF 9M 176K –
ISHARES INC MSCI SWITZERLAND 2M 35K –
ISHARES INC MSCI SWEDEN ETF 879K 22K –
ISHARES INC CORE MSCI EMKT 20M 380K –
ISHARES TR US TREAS BD ETF 5M 224K –
ISHARES TR CORE MSCI EAFE 17M 230K –
ISHARES TR IBOXX INV CP ETF 1M 12K –
ISHARES TR ISHARES BIOTECH 4M 26K –
J P MORGAN EXCHANGE TRADED F BETABUILDERS DEV 6M 128K –
JOHNSON & JOHNSON COM 1M 8K –
JPMORGAN CHASE & CO. COM 4M 21K –
KINDER MORGAN INC DEL COM 3M 153K –
KRAFT HEINZ CO COM 742K 23K –
MAGNA INTL INC COM 1M 26K –
MCDONALDS CORP COM 876K 3K –
MEDTRONIC PLC SHS 3M 43K –
MICROSOFT CORP COM 3M 7K –
PACER FDS TR DATA AND INFRAST 783K 29K –
PEPSICO INC COM 1M 8K –
PRINCIPAL FINANCIAL GROUP IN COM 906K 12K –
PROCTER AND GAMBLE CO COM 975K 6K –
PROSHARES TR S&P 500 DV ARIST 772K 8K –
SELECT SECTOR SPDR TR ENERGY 6M 65K –
SELECT SECTOR SPDR TR COMMUNICATION 8M 92K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 10M 72K –
SELECT SECTOR SPDR TR SBI CONS DISCR 7M 40K –
SELECT SECTOR SPDR TR RL EST SEL SEC 2M 42K –
SELECT SECTOR SPDR TR FINANCIAL 8M 183K –
SPDR SER TR PRTFLO S&P500 VL 266K 5K –
SPDR SER TR PORTFOLIO LN TSR 2M 55K –
SPDR SER TR PRTFLO S&P500 GW 294K 4K –
SPDR SER TR NUVEEN BLMBRG SH 967K 20K –
TARGET CORP COM 1M 8K –
TRUIST FINL CORP COM 4M 101K –
UNITEDHEALTH GROUP INC COM 4M 7K –
VANECK ETF TRUST HIGH YLD MUNIETF 1M 23K –
VANECK ETF TRUST INTRMDT MUNI ETF 3M 74K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 506K 10K –
VANGUARD INDEX FDS SMALL CP ETF 9M 42K –
VANGUARD MUN BD FDS TAX EXEMPT BD 958K 19K –
VANGUARD SCOTTSDALE FDS INTER TERM TREAS 1M 22K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 7M 164K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 3M 33K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 455K 2K –
VANGUARD WORLD FD MATERIALS ETF 2M 9K –
VANGUARD WORLD FD CONSUM STP ETF 6M 30K –
VANGUARD WORLD FD INF TECH ETF 14M 25K –
VANGUARD WORLD FD INDUSTRIAL ETF 9M 38K –
VERIZON COMMUNICATIONS INC COM 1M 32K –
VICI PPTYS INC COM 3M 96K –
WALMART INC COM 1M 16K –
WELLTOWER INC COM 2M 21K –
WILLIAMS COS INC COM 4M 88K –
XCEL ENERGY INC COM 2M 38K –