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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

PROSPERITY FINANCIAL GROUP, INC.

CRD 145540

SAN RAMON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3473c82d-fe5e-7d2a-6940-725fef225de5

Data as of Oct 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 0
Observed: Jun 30, 2015 to Oct 28, 2025
38 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $359MItem 5.F on the latest filing (2025-10-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $359M
Private client RAUM: $357MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,202
Individual clients: 102
High net worth clients: 545
Custody, client assets: $82.0M
SEC number: 801-100511
CIK: 1991334
CRD: 145540
Filings on the tape: 38
First filed: Jun 30, 2015
Latest filed: Oct 28, 2025
Organised: Corporation, CA

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KALLEN, ELLIOT, HERBERT	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	03/2000	Jun 30, 2015	Mar 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PROSPERITY WEALTH MANAGEMENT, INC.	n/a	Independent wealth	$484M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
ARROYO GRANDE	CA	United States	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 27, 2025	$359M	$359M	11	9	1	n/a	n/a
2023	Mar 29, 2024	$262M	$262M	9	9	2	n/a	n/a
2022	Mar 31, 2023	$213M	$213M	8	8	2	n/a	n/a
2021	Mar 31, 2022	$245M	$245M	11	9	3	n/a	n/a
2020	Mar 1, 2021	$202M	$202M	8	8	3	n/a	n/a
2019	Mar 23, 2020	$152M	$152M	9	9	5	n/a	n/a
2018	Mar 29, 2019	$167M	$167M	13	13	6	n/a	n/a
2017	Mar 26, 2018	$160M	$160M	13	13	4	n/a	n/a
2016	Mar 23, 2017	$130M	$130M	14	9	n/a	n/a	n/a
2015	Mar 15, 2016	$103M	$103M	6	2	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	n/a	0	0	0	2	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$359M	$262M	37.1%	$245M	13.5%	11	9	1	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PROSPERITY FINANCIAL GROUP, INC.	7	Dec 24, 2025	Jan 1, 2026	SAN RAMON, CA	Firm absorbed	RIA to RIA	87.5%
FIGTREE FINANCIAL ADVISORS, LLC	2	Aug 2, 2019	Apr 26, 2019	SANTA CLARA, CA	Team lift out	RIA to RIA	22.2%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AMERIPRISE FINANCIAL SERVICES, LLC	2	Jun 19, 2017	Jul 19, 2017	CAMPBELL, CA	Team lift out	Other	0.0%

Relationships

Affiliated with (2)

← EXODUS WEALTH, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ EXODUS WEALTH, LLCRegistered adviserother investment adviser, common control
factForm ADV

Moved with (3)

→ PROSPERITY FINANCIAL GROUP, INC.Registered adviser7 advisors, firm absorbed, same day
Dec 24, 2025 to Jan 1, 2026factForm ADV
→ FIGTREE FINANCIAL ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Aug 2, 2019 to Apr 26, 2019factForm ADV
← AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviser2 advisors, team lift out
Jun 19, 2017 to Jul 19, 2017factForm ADV

Registered with (14)

← CESAR BAGAMASBAD DANTESAdvisorregistration: previous registration
Jun 1, 2010 to Dec 24, 2025factForm ADV
← ELLIOT HERBERT KALLENAdvisorregistration: previous registration
Feb 29, 2008 to Dec 24, 2025factForm ADV
← JAMIE GRANVILLE HARGRAVEAdvisorregistration: previous registration
Apr 8, 2015 to Dec 24, 2025factForm ADV
← EMMETT CHARLES PECKAdvisorregistration: previous registration
Aug 8, 2016 to Dec 24, 2025factForm ADV
← ANKIT SAHUAdvisorregistration: previous registration
Jul 27, 2018 to Dec 24, 2025factForm ADV
← ANDREW JOSEPH AGOSTAAdvisorregistration: previous registration
Oct 3, 2025 to Dec 24, 2025factForm ADV
← MARTIN ALEXANDER TROIANIAdvisorregistration: previous registration
Dec 15, 2023 to Dec 24, 2025factForm ADV
← JAMES DEREK HEBERTAdvisorregistration: previous registration
Apr 30, 2021 to Dec 24, 2025factForm ADV
← DANIEL LEE KORTHAdvisorregistration: previous registration
Nov 11, 2016 to Dec 31, 2023factForm ADV
← MELISSA PATRICE KIELBERGAdvisorregistration: previous registration
Dec 9, 2014 to Nov 1, 2019factForm ADV
← REGINA CARBAJAL LEGATESAdvisorregistration: previous registration
Jun 21, 2017 to Aug 2, 2019factForm ADV
← MARJORIE CASEM CARBAJALAdvisorregistration: previous registration
Jul 19, 2017 to Aug 2, 2019factForm ADV
← WILLIAM MARK THOMSONAdvisorregistration: previous registration
Sep 20, 2018 to Sep 27, 2018factForm ADV
← STEPHEN HINANT HECKERAdvisorregistration: previous registration
Jun 16, 2016 to Jun 16, 2016factForm ADV

Controls (1)

← KALLEN, ELLIOT, HERBERTOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jun 30, 2015 to Mar 29, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 24, 2025
Firm absorbed
Prosperity Financial Group, Inc.'s advisors moved to Prosperity Financial Group, Inc. (San Ramon, CA): 7 of 8 registered, on the same day
Form ADVobserved 3 days ago
7 advisors
Occurred
Dec 24, 2025
Advisor changed firm
Elliot Herbert Kallen left Prosperity Financial Group, Inc. for Raymond James Financial Services Advisors, Inc (registered 2009-01-02)
Form ADVobserved 3 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Daniel Lee Korth left Prosperity Financial Group, Inc. for Truvestments Capital Llc (registered 2024-01-03)
Form ADVobserved 3 days ago
Occurred
Jun 30, 2015
First Form ADV filing
Prosperity Financial Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Jan 2, 2026
Prosperity Financial Group, Inc. no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $358.9M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3473c82d-fe5e-7d2a-6940-725fef225de5
First observed: Jun 30, 2015
Last observed: Oct 28, 2025 10 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PROSPERITY FINANCIAL GROUP, INC.

CRD 145540

SAN RAMON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3473c82d-fe5e-7d2a-6940-725fef225de5

Data as of Oct 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KALLEN, ELLIOT, HERBERT

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

03/2000

Jun 30, 2015

Mar 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PROSPERITY WEALTH MANAGEMENT, INC.

n/a

Independent wealth

$484M

yes

n/a

City

State

Country

Employees

Also broker-dealer

ARROYO GRANDE

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 27, 2025

$359M

n/a

2023

Mar 29, 2024

$262M

n/a

2022

Mar 31, 2023

$213M

n/a

2021

Mar 31, 2022

$245M

n/a

2020

Mar 1, 2021

$202M

n/a

2019

Mar 23, 2020

$152M

n/a

2018

Mar 29, 2019

$167M

n/a

2017

Mar 26, 2018

$160M

n/a

2016

Mar 23, 2017

$130M

n/a

2015

Mar 15, 2016

$103M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$359M

$262M

37.1%

$245M

13.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PROSPERITY FINANCIAL GROUP, INC.

Dec 24, 2025

Jan 1, 2026

SAN RAMON, CA

Firm absorbed

RIA to RIA

87.5%

FIGTREE FINANCIAL ADVISORS, LLC

Aug 2, 2019

Apr 26, 2019

SANTA CLARA, CA

Team lift out

RIA to RIA

22.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AMERIPRISE FINANCIAL SERVICES, LLC

Jun 19, 2017

Jul 19, 2017

CAMPBELL, CA

Team lift out

Other

0.0%