THE PROSPERITY PEOPLE
THE WEALTH ADVISORY TEAM, LLC Legal Name
Adviser information for THE PROSPERITY PEOPLE last updated from Form ADV on March 28th, 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 | Kentucky, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 491 | $127.1M |
| Non-Discretionary | 0 | $0 |
| Total | 491 | $127.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 130 | $45.0M |
| HNW Individuals | 34 | $72.1M |
| 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 | <5 | $10.0M |
| 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 | 29 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-123671 |
|---|---|
| SEC ERA File Number | 801-123671 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124957 |
| Legal Entity Identifier | None |
Principal Office
601 FAIRFIELD AVENUEBELLEVUE
KY
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 859-331-7755, Fax: 859-331-4695
Websites
Chief Compliance Officer
MACKEY MIRIAM MCNEILL
COMPLIANCE OFFICER
601 FAIRFIELD AVENUE
BELLEVUE
KY
United States
Tel:
859-331-7755
Fax:
859-331-4695
M*****@*****************M
(Full email address available in API data)
Regulatory Contact
ANDREW PULSFORT
IAR
601 FAIRFIELD AVENUE
BELLEVUE
KY
United States
Tel:
859-331-7755
Fax:
859-331-4695
A***@**********************M
(Full email address available in API data)
Industry Affiliates
| DBA MACKEY | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCNEILL, MACKEY, MIRIAM | Individual | – | PRESIDENT/CEO/CCO/MANAGING MEMBER | 01/2003 | > 75% |
| PULSFORT, ANDREW, JAMES | Individual | – | DIRECTOR OF PERSONAL SERVICES | 01/2017 | 10-25% |