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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

PROSPERA FINANCIAL SERVICES, INC.

CRD 10740

DALLAS, TX

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:b3169a0c-26e5-316e-6101-3aaa07e3d2bb

Data as of Sep 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 434
Dated events: 40
On other graphs: 0
Observed: Nov 17, 2011 to Sep 30, 2025
98 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.86 fund_share=0.0 institutional_share=0.09 related_bd=true related_bank=false bd_reps=220.0
Regulatory AUM: $12BItem 5.F on the latest filing (2025-09-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.4B
Private client RAUM: $11BderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 269
RAUM per advisor: $46.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 333
Advisory employees: 207
Offices: 139Schedule D 1.F, beyond the principal office
Accounts: 29,500
Individual clients: 12,511
High net worth clients: 6,195
Custody, client assets: $0
SEC number: 801-65845
CRD: 10740
Filings on the tape: 98
First filed: Nov 17, 2011
Latest filed: Sep 30, 2025
Organised: Corporation, TX

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 272

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
TIM ALAN EDWARDS	n/a	DALLAS, TX	37	39	n/a	yes
ROBERT LEE CECIL	n/a	DALLAS, TX	28	44	n/a	yes
JANA DARLENE WATERS	Certified Financial Planner	SOUTHLAKE, TX \| DALLAS, TX	23	27	n/a	yes
CASEY DAN WAITS	n/a	DALLAS, TX \| Frisco, TX	23	31	n/a	yes
RICHARD DEAN PASCUZZI	n/a	DALLAS, TX	23	45	1	yes
GEORGE WAYNE LOLLIS	n/a	Tyler, TX \| Frisco, TX	22	51	1	yes
MARGARET ANNE THOMPSON	n/a	Hurst, TX	22	28	1	yes
DAVID WALTER STRINGER	n/a	DALLAS, TX	21	40	n/a	yes
JUDY KAY MOORE	n/a	AUSTIN, TX \| DALLAS, TX	21	46	n/a	yes
DAVID ALAN YARBROUGH	n/a	Hurst, TX \| DALLAS, TX	21	43	n/a	yes
ROBERT CHESTER ALBRITTON	n/a	FT WORTH, TX \| DALLAS, TX	21	39	n/a	yes
MICHAEL JOSEPH GOMEZ	n/a	LUBBOCK, TX \| DALLAS, TX	21	41	3	yes
JOEL KIRK CORBIN	n/a	LUBBOCK, TX \| DALLAS, TX	21	36	3	yes
WILFRED CARTER	n/a	LUBBOCK, TX	21	33	3	yes
LISA BAKER LAWWILL	n/a	DALLAS, TX \| ASHEVILLE, NC	20	32	1	yes
VIRGINIA PAIGE HANSEN	Certified Financial Planner	ASHEVILLE, NC	20	29	1	yes
ROBERT ANDREW BOTEL	n/a	DALLAS, TX \| Wynnewood, PA \| BALA CYNWYD, PA	20	32	n/a	yes
LINDA SCOVILLE CARTWRIGHT	n/a	DALLAS, TX \| LUBBOCK, TX	19	39	2	yes
BOBBY JOE BOYD	n/a	DALLAS, TX \| LUBBOCK, TX	19	33	2	yes
BRIAN JOSEPH FEES	Certified Financial Planner	GONZALES, TX	19	20	1	yes
KURT ALLEN KOKE	n/a	Hurst, TX	18	40	n/a	yes
CHRISTOPHER DONALD PASCUZZI	n/a	DALLAS, TX	18	19	1	yes
DAX THOMAS WILLIAMSON	n/a	DALLAS, TX \| EUREKA, CA	17	30	2	yes
CLAYTON WELLINGTON JAMES	n/a	Williamsburg, VA	17	23	3	yes
KENNETH CLAYTON PRICE	n/a	GLEN ALLEN, VA \| DALLAS, TX	17	29	1	yes

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
EDWARDS, TIM ALAN	CO-CEO	Na	yes	07/2021	Sep 30, 2025	Sep 30, 2025
PASCUZZI, RICHARD DEAN	EXECUTIVE VICE PRESIDENT, SECRETARY	Na	yes	05/1998	Sep 30, 2025	Sep 30, 2025
PROSPERA FINANCIAL, LLC	HOLDING COMPANY	E	yes	07/2021	Sep 30, 2025	Sep 30, 2025
STRINGER, DAVID WALTER	CO-CEO	Na	yes	07/2021	Sep 30, 2025	Sep 30, 2025
WILLIAMS, TARAH ELIZABETH	PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	10/2022	Sep 30, 2025	Sep 30, 2025
EDWARDS, TIM ALAN	SHARE HOLDER	C	yes	07/2021	Nov 17, 2011	Sep 30, 2024
PASCUZZI, RICHARD DEAN	SHARE HOLDER	C	yes	07/2021	Nov 17, 2011	Sep 30, 2024
STRINGER, DAVID WALTER	SHARE HOLDER	C	yes	07/2021	Nov 17, 2011	Sep 30, 2024
BAXTER, SHAWN	CHIEF COMPLIANCE OFFICER	Na	no	08/2024	Sep 30, 2025	Sep 30, 2025
KERN, EDWARD	CHIEF FINANCIAL OFFICER	Na	no	10/2017	Sep 30, 2025	Sep 30, 2025

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
PROSPERA LIFE AND ANNUITY SERVICES, INC.	n/a	n/a	n/a	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
Metairie	La	United States	12	yes
Hurst	TX	United States	8	yes
Bend	Or	United States	5	yes
Dallas	TX	United States	5	yes
Redlands	CA	United States	4	yes
Harrisburg	Pa	United States	4	yes
Tyler	TX	United States	4	yes
Mandeville	La	United States	3	yes
Belmont	Nc	United States	3	yes
Buckeye	Az	United States	2	yes
CRYSTAL LAKE	IL	United States	2	yes
Peoria	IL	United States	2	yes
Lafayette	La	United States	2	yes
Lafayette	La	United States	2	yes
Cumberland	Md	United States	2	yes
Charlotte	Nc	United States	2	yes
Raleigh	Nc	United States	2	yes
INCLINE VILLAGE	Nv	United States	2	yes
Colleyville	TX	United States	2	yes
Dallas	TX	United States	2	yes
Dallas	TX	United States	2	yes
Denton	TX	United States	2	yes
Weatherford	TX	United States	2	yes
GLEN ALLEN	Va	United States	2	yes
Norfolk	Va	United States	2	yes

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; showing 13 of 14

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 8, 2025	$9.8B	$6.2B	265	159	123	n/a	n/a
2023	Sep 29, 2023	$7.9B	$4.9B	240	156	105	n/a	n/a
2022	Sep 30, 2022	$5.9B	$3.9B	242	152	105	n/a	n/a
2021	Sep 28, 2021	$6.7B	$4.1B	217	134	101	n/a	n/a
2020	Sep 30, 2020	$3.4B	$2.2B	199	119	101	n/a	n/a
2019	Sep 30, 2019	$2.8B	$2.3B	186	109	98	n/a	n/a
2018	Sep 28, 2018	$2.5B	$2.0B	190	113	97	n/a	n/a
2017	Sep 28, 2017	$1.7B	$1.0B	186	134	n/a	n/a	n/a
2016	Sep 27, 2016	$1.4B	$850M	193	110	n/a	n/a	n/a
2015	Sep 24, 2015	$1.4B	$785M	200	144	n/a	n/a	n/a
2014	Sep 25, 2014	$1.2B	$746M	200	140	n/a	n/a	n/a
2013	Sep 26, 2013	$989M	$550M	110	100	n/a	n/a	n/a
2012	Sep 27, 2012	$670M	$434M	n/a	n/a	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
19	12	7	4.5%	8	2	0	61	26

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	$12B	$7.9B	57.1%	$6.7B	22.8%	333	240	139	105

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
LPL FINANCIAL LLC	3	Apr 22, 2026	Apr 22, 2026	COLLEYVILLE, TX	Team lift out	Ibd to ibd	1.1%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	2	Mar 31, 2026	Apr 1, 2026	LAGUNA HILLS, CA	Team lift out	Ibd to ibd	0.8%
HARVEST INVESTMENT SERVICES, LLC	2	Aug 30, 2024	Sep 3, 2024	PAWLEYS ISLAND, SC	Team lift out	Ibd to RIA	1.1%
SOWELL MANAGEMENT	2	Sep 8, 2021	Sep 16, 2021	IRVINGTON, VA	Team lift out	RIA to RIA	1.4%
MSH CAPITAL ADVISORS LLC	3	Jun 20, 2017	Jun 22, 2017	DALLAS, TX	Team lift out	Other	2.9%
COMMONWEALTH FINANCIAL NETWORK	2	Jan 14, 2016	Jan 14, 2016	IRVING, TX	Team lift out	Other	2.2%
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	4	Nov 18, 2015	Nov 16, 2015	WORTHINGTON, OH	Team lift out	Other	4.2%

Teams in

teams that arrived here from one firm together; showing 20 of 21

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	2	Jul 27, 2026	Jul 20, 2026	BOERNE, TX	Team lift out	Wirehouse to ibd	0.0%
WELLS FARGO ADVISORS	2	Dec 17, 2025	Dec 5, 2025	WILLISTON, VT	Team lift out	Wirehouse to ibd	0.1%
WELLS FARGO ADVISORS	2	Oct 2, 2025	Sep 12, 2025	ORANGE, CA	Team lift out	Wirehouse to ibd	0.1%
B. RILEY WEALTH ADVISORS, INC.	2	Sep 16, 2025	Jan 5, 2026	IRVINE, CA	Team lift out	Ibd to ibd	1.1%
MORGAN STANLEY	2	Feb 27, 2025	Feb 14, 2025	VISALIA, CA	Team lift out	Wirehouse to ibd	0.0%
B. RILEY WEALTH ADVISORS, INC.	5	Sep 26, 2024	Sep 19, 2024	MEMPHIS, TN	Team lift out	Ibd to ibd	1.5%
LPL FINANCIAL LLC	2	Apr 23, 2024	Jun 17, 2024	PEORIA, IL	Team lift out	Ibd to ibd	0.0%
PAINTER, SMITH AND AMBERG INC.	4	Jan 17, 2024	Jan 22, 2024	REDLANDS, CA	Firm absorbed	RIA to ibd	100.0%
HILLTOP SECURITIES INC.	2	Oct 12, 2023	Sep 21, 2023	DALLAS, TX	Team lift out	Ibd to ibd	1.6%
WELLS FARGO ADVISORS	2	Feb 18, 2022	Feb 18, 2022	KNOXVILLE, TN	Team lift out	Wirehouse to RIA	0.1%
DORSEY & COMPANY INC.	11	Dec 3, 2021	Oct 7, 2024	NEW ORLEANS, LA	Firm absorbed	RIA to RIA	91.7%
LPL FINANCIAL LLC	3	Apr 22, 2021	Sep 19, 2024	BEND, OR	Team lift out	Ibd to RIA	0.0%
SUMMIT FINANCIAL GROUP INC	3	Apr 19, 2021	Apr 28, 2021	SOUTHGATE, MI	Team lift out	Ibd to RIA	1.1%
SUMMIT FINANCIAL GROUP INC	2	Mar 3, 2021	Mar 4, 2021	CINCINNATI, OH	Team lift out	Ibd to RIA	0.7%
SUMMIT FINANCIAL GROUP INC	2	Jan 26, 2021	Jan 25, 2021	CLARKSTON, MI	Team lift out	Ibd to RIA	0.7%
MORGAN STANLEY	2	Oct 7, 2020	Nov 6, 2020	RENO, NV	Team lift out	Wirehouse to RIA	0.0%
WELLS FARGO ADVISORS	2	Aug 20, 2019	Aug 22, 2019	CRYSTAL LAKE, IL	Team lift out	Wirehouse to RIA	0.1%
MORGAN STANLEY	2	Jul 2, 2018	Jun 29, 2018	ARLINGTON, TX	Team lift out	Other	0.0%
SUMMIT FINANCIAL GROUP INC	2	Apr 3, 2017	Mar 27, 2017	CUMBERLAND, MD	Team lift out	Other	0.7%
WELLS FARGO ADVISORS	3	Aug 31, 2016	Aug 31, 2016	LEMOYNE, PA	Team lift out	Other	0.0%

Relationships

showing 80 of 434

Registered with (80)

← Kyle D SmithAdvisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← PATRICK CHARLES SWEENEYAdvisorregistration: current employment
Aug 28, 2026 to presentfactForm ADV
← AUSTIN ROBERT COLLINSAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← Mary Kathleen FlahertyAdvisorregistration: current employment
Aug 13, 2026 to presentfactForm ADV
← JOHN CLEAVELAND PALMERAdvisorregistration: current employment
Aug 7, 2026 to presentfactForm ADV
← AMY KRISTINE OCHSAdvisorregistration: current employment
Jul 20, 2026 to presentfactForm ADV
← CHRISTOPHER AARON PALMERAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← Adam Clayton PriceAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← JOAN HSUAdvisorregistration: current employment
Jul 13, 2026 to presentfactForm ADV
← Breann Alexandria Savage LyonAdvisorregistration: current employment
Jun 18, 2026 to presentfactForm ADV
← Justin C DescantAdvisorregistration: current employment
May 6, 2026 to presentfactForm ADV
← Thomas Milan WyszynskiAdvisorregistration: current employment
Apr 24, 2026 to presentfactForm ADV
← David Keith ColeAdvisorregistration: current employment
Apr 20, 2026 to presentfactForm ADV
← Rebecca Elizabeth ReynaudAdvisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← ALANA KAY DAVISAdvisorregistration: current employment
Mar 27, 2026 to presentfactForm ADV
← Chandler Allen HugginsAdvisorregistration: current employment
Mar 3, 2026 to presentfactForm ADV
← Anisa Allaudeen BarutisAdvisorregistration: current employment
Mar 2, 2026 to presentfactForm ADV
← ANATOLY KHAITAdvisorregistration: current employment
Feb 17, 2026 to presentfactForm ADV
← Kyle BlairAdvisorregistration: current employment
Feb 4, 2026 to presentfactForm ADV
← Thomas Reid LawrenceAdvisorregistration: current employment
Jan 26, 2026 to presentfactForm ADV
← Nicole Ashley CrangleAdvisorregistration: current employment
Jan 14, 2026 to presentfactForm ADV
← JOSEPH DANIEL BERGINAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← JOHN J HARMAdvisorregistration: current employment
Dec 5, 2025 to presentfactForm ADV
← CONNOR SCOTT CORBETTAdvisorregistration: current employment
Dec 4, 2025 to presentfactForm ADV
← CHRISTINA ANNE MCCAUGHEYAdvisorregistration: current employment
Oct 30, 2025 to presentfactForm ADV
← NICHOLAS DAVID OLIVASAdvisorregistration: current employment
Oct 30, 2025 to presentfactForm ADV
← Moriah RanadeAdvisorregistration: current employment
Oct 29, 2025 to presentfactForm ADV
← Joseph Thomas CrapanzanoAdvisorregistration: current employment
Oct 17, 2025 to presentfactForm ADV
← Hannah Ashlea May WilliamsAdvisorregistration: current employment
Oct 9, 2025 to presentfactForm ADV
← STEVEN CRAIG BEHRLEAdvisorregistration: current employment
Sep 12, 2025 to presentfactForm ADV
and 50 more

Dated events

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

Occurred
Sep 1, 2026
Advisor changed firm
Stacey Lynn Tucker left Prospera Financial Services, Inc. for Onedigital (registered 2026-09-01)
Form ADVobserved 4 days ago
Occurred
Jul 27, 2026
Team lift-out
2 advisors left Wells Fargo Advisors (Boerne, TX) for Prospera Financial Services, Inc. within 3 days
Form ADVobserved 4 days ago
2 advisors
Occurred
Jun 29, 2026
Advisor changed firm
Mitchell Randall left Prospera Financial Services, Inc. for Pnc Wealth Management (registered 2026-07-01)
Form ADVobserved 4 days ago
Occurred
May 1, 2026
Advisor changed firm
Andrew Bryan Katz left Prospera Financial Services, Inc. for First Heartland Consultants, Inc. (registered 2026-05-01)
Form ADVobserved 4 days ago
Occurred
Apr 22, 2026
Team lift-out
3 advisors left Prospera Financial Services, Inc. (Colleyville, TX) for LPL Financial LLC on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Apr 22, 2026
Advisor changed firm
Tyler D Little left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Apr 22, 2026
Advisor changed firm
Houston G Little left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Apr 22, 2026
Advisor changed firm
David P Little left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2026
Team lift-out
2 advisors left Prospera Financial Services, Inc. (Laguna Hills, CA) for Cambridge Investment Research Advisors, Inc. on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Mar 31, 2026
Advisor changed firm
Robert Ricardo Fragnito left Prospera Financial Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2026
Advisor changed firm
Marco Fragnito left Prospera Financial Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-04-01)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2026
Advisor changed firm
Michael Thomas Beard left Prospera Financial Services, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-03-31)
Form ADVobserved 4 days ago
Occurred
Feb 20, 2026
Advisor changed firm
David Weiss left Prospera Financial Services, Inc. for Allworth Financial, L.P. (registered 2026-03-06)
Form ADVobserved 4 days ago
Occurred
Dec 17, 2025
Team lift-out
2 advisors left Wells Fargo Advisors (Williston, VT) for Prospera Financial Services, Inc. on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Nov 4, 2025
Advisor changed firm
Konstantin Richard Danias left Prospera Financial Services, Inc. for Paradigm Investment Advisory, Llc (registered 2025-11-07)
Form ADVobserved 4 days ago
Occurred
Oct 23, 2025
Advisor changed firm
Frank Henry Bullinger left Prospera Financial Services, Inc. for Titleist Asset Management, Llc (registered 2025-10-27)
Form ADVobserved 4 days ago
Occurred
Oct 2, 2025
Team lift-out
2 advisors left Wells Fargo Advisors (Orange, CA) for Prospera Financial Services, Inc. on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Sep 30, 2025
Advisor headcount changed
Prospera Financial Services, Inc. reported 259 state-registered advisory representatives, up from 201 (2025-08-01 to 2025-09-30)
Form ADVobserved 4 days ago
58 IARS
Occurred
Sep 30, 2025
Regulatory AUM changed
Prospera Financial Services, Inc. reported RAUM $12.4B, up 27% from $9.8B (2025-08-01 to 2025-09-30)
Form ADVobserved 4 days ago
$2.6B
Occurred
Sep 16, 2025
Team lift-out
2 advisors left B. Riley Wealth Advisors, Inc. (Irvine, CA) for Prospera Financial Services, Inc. a day apart
Form ADVobserved 4 days ago
2 advisors
Occurred
Aug 20, 2025
Advisor changed firm
Julie Ann Hinman left Prospera Financial Services, Inc. for Land Advisory Co., Llc (registered 2025-08-20)
Form ADVobserved 4 days ago
Occurred
Jun 2, 2025
Advisor changed firm
Christopher James Robb left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2025-06-02)
Form ADVobserved 4 days ago
Occurred
May 20, 2025
Advisor changed firm
Kelley Mellar Selph left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2025-05-19)
Form ADVobserved 4 days ago
Occurred
Mar 18, 2025
Advisor changed firm
Michael Scott Martin left Prospera Financial Services, Inc. for Hibernia Wealth Partners, Llc (registered 2025-03-19)
Form ADVobserved 4 days ago
Occurred
Feb 27, 2025
Team lift-out
2 advisors left Morgan Stanley (Visalia, CA) for Prospera Financial Services, Inc. a day apart
Form ADVobserved 4 days ago
2 advisors
Occurred
Nov 25, 2024
Advisor changed firm
Jonathan Dale Stein left Prospera Financial Services, Inc. for Kestra Advisory Services, Llc (registered 2024-11-28)
Form ADVobserved 4 days ago
Occurred
Sep 26, 2024
Team lift-out
5 advisors left B. Riley Wealth Advisors, Inc. (Memphis, TN) for Prospera Financial Services, Inc. within 5 days
Form ADVobserved 4 days ago
5 advisors
Occurred
Aug 30, 2024
Team lift-out
2 advisors left Prospera Financial Services, Inc. (Pawleys Island, SC) for Harvest Investment Services, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Aug 30, 2024
Advisor changed firm
Ronald Scott Pyle left Prospera Financial Services, Inc. for Harvest Investment Services, Llc (registered 2024-07-01)
Form ADVobserved 4 days ago
Occurred
Aug 30, 2024
Advisor changed firm
Jeffrey Raymond Pounds left Prospera Financial Services, Inc. for Harvest Investment Services, Llc (registered 2024-09-03)
Form ADVobserved 4 days ago
Occurred
Aug 15, 2024
Advisor changed firm
Michael Scott Blanchard left Prospera Financial Services, Inc. for Cetera Investment Advisers Llc (registered 2024-08-19)
Form ADVobserved 4 days ago
Occurred
Jul 18, 2024
Advisor changed firm
Bradley Kyle Smith left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2024-06-25)
Form ADVobserved 4 days ago
Occurred
Jul 18, 2024
Advisor changed firm
William Cordell Huddleston left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2024-06-25)
Form ADVobserved 4 days ago
Occurred
Jul 17, 2024
Advisor changed firm
Logan Michael Simoni left Prospera Financial Services, Inc. for Kingsview Wealth Management, Llc (registered 2024-10-15)
Form ADVobserved 4 days ago
Occurred
Apr 29, 2024
Advisor changed firm
Sarah Ann Southworth left Prospera Financial Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2024-05-06)
Form ADVobserved 4 days ago

Show 5 bookkeeping events

Occurred
Sep 18, 2026
Penny A Mody added a NV registration at Prospera Financial Services, Inc.
Occurred
Sep 16, 2026
Tamara Lawson Hackett registered as an investment adviser representative at Prospera Financial Services, Inc.
First seen by DFX
Sep 15, 2026
date not stated
Jonathan Fuimaono no longer holds an investment adviser registration (last listed at Prospera Financial Services, Inc. on the 2026-09-14 feed)
Occurred
Sep 30, 2025
Prospera Financial Services, Inc. reported 139 offices beyond its principal office, up from 123 (2025-08-01 to 2025-09-30)
Occurred
Sep 30, 2024
Prospera Financial Services, Inc. reported 123 offices beyond its principal office, up from 105 (2024-08-15 to 2024-09-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3169a0c-26e5-316e-6101-3aaa07e3d2bb
First observed: Nov 17, 2011
Last observed: Sep 30, 2025 11 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.

PROSPERA FINANCIAL SERVICES, INC.

CRD 10740

DALLAS, TX

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:b3169a0c-26e5-316e-6101-3aaa07e3d2bb

Data as of Sep 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TIM ALAN EDWARDS

n/a

DALLAS, TX

n/a

yes

ROBERT LEE CECIL

n/a

DALLAS, TX

n/a

yes

JANA DARLENE WATERS

Certified Financial Planner

SOUTHLAKE, TX | DALLAS, TX

n/a

yes

CASEY DAN WAITS

n/a

DALLAS, TX | Frisco, TX

n/a

yes

RICHARD DEAN PASCUZZI

n/a

DALLAS, TX

yes

GEORGE WAYNE LOLLIS

n/a

Tyler, TX | Frisco, TX

yes

MARGARET ANNE THOMPSON

n/a

Hurst, TX

yes

DAVID WALTER STRINGER

n/a

DALLAS, TX

n/a

yes

JUDY KAY MOORE

n/a

AUSTIN, TX | DALLAS, TX

n/a

yes

DAVID ALAN YARBROUGH

n/a

Hurst, TX | DALLAS, TX

n/a

yes

ROBERT CHESTER ALBRITTON

n/a

FT WORTH, TX | DALLAS, TX

n/a

yes

MICHAEL JOSEPH GOMEZ

n/a

LUBBOCK, TX | DALLAS, TX

yes

JOEL KIRK CORBIN

n/a

LUBBOCK, TX | DALLAS, TX

yes

WILFRED CARTER

n/a

LUBBOCK, TX

yes

LISA BAKER LAWWILL

n/a

DALLAS, TX | ASHEVILLE, NC

yes

VIRGINIA PAIGE HANSEN

Certified Financial Planner

ASHEVILLE, NC

yes

ROBERT ANDREW BOTEL

n/a

DALLAS, TX | Wynnewood, PA | BALA CYNWYD, PA

n/a

yes

LINDA SCOVILLE CARTWRIGHT

n/a

DALLAS, TX | LUBBOCK, TX

yes

BOBBY JOE BOYD

n/a

DALLAS, TX | LUBBOCK, TX

yes

BRIAN JOSEPH FEES

Certified Financial Planner

GONZALES, TX

yes

KURT ALLEN KOKE

n/a

Hurst, TX

n/a

yes

CHRISTOPHER DONALD PASCUZZI

n/a

DALLAS, TX

yes

DAX THOMAS WILLIAMSON

n/a

DALLAS, TX | EUREKA, CA

yes

CLAYTON WELLINGTON JAMES

n/a

Williamsburg, VA

yes

KENNETH CLAYTON PRICE

n/a

GLEN ALLEN, VA | DALLAS, TX

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EDWARDS, TIM ALAN

CO-CEO

yes

07/2021

Sep 30, 2025

PASCUZZI, RICHARD DEAN

EXECUTIVE VICE PRESIDENT, SECRETARY

yes

05/1998

Sep 30, 2025

PROSPERA FINANCIAL, LLC

HOLDING COMPANY

yes

07/2021

Sep 30, 2025

STRINGER, DAVID WALTER

CO-CEO

yes

07/2021

Sep 30, 2025

WILLIAMS, TARAH ELIZABETH

PRESIDENT, CHIEF OPERATING OFFICER

yes

10/2022

Sep 30, 2025

EDWARDS, TIM ALAN

SHARE HOLDER

yes

07/2021

Nov 17, 2011

Sep 30, 2024

PASCUZZI, RICHARD DEAN

SHARE HOLDER

yes

07/2021

Nov 17, 2011

Sep 30, 2024

STRINGER, DAVID WALTER

SHARE HOLDER

yes

07/2021

Nov 17, 2011

Sep 30, 2024

BAXTER, SHAWN

CHIEF COMPLIANCE OFFICER

08/2024

Sep 30, 2025

KERN, EDWARD

CHIEF FINANCIAL OFFICER

10/2017

Sep 30, 2025

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PROSPERA LIFE AND ANNUITY SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Metairie

United States

yes

Hurst

United States

yes

Bend

United States

yes

Dallas

United States

yes

Redlands

United States

yes

Harrisburg

United States

yes

Tyler

United States

yes

Mandeville

United States

yes

Belmont

United States

yes

Buckeye

United States

yes

CRYSTAL LAKE

United States

yes

Peoria

United States

yes

Lafayette

United States

yes

Lafayette

United States

yes

Cumberland

United States

yes

Charlotte

United States

yes

Raleigh

United States

yes

INCLINE VILLAGE

United States

yes

Colleyville

United States

yes

Dallas

United States

yes

Dallas

United States

yes

Denton

United States

yes

Weatherford

United States

yes

GLEN ALLEN

United States

yes

Norfolk

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Apr 8, 2025

$9.8B

$6.2B

265

159

123

n/a

2023

Sep 29, 2023

$7.9B

$4.9B

240

156

105

n/a

2022

Sep 30, 2022

$5.9B

$3.9B

242

152

105

n/a

2021

Sep 28, 2021

$6.7B

$4.1B

217

134

101

n/a

2020

Sep 30, 2020

$3.4B

$2.2B

199

119

101

n/a

2019

Sep 30, 2019

$2.8B

$2.3B

186

109

n/a

2018

Sep 28, 2018

$2.5B

$2.0B

190

113

n/a

2017

Sep 28, 2017

$1.7B

$1.0B

186

134

n/a

2016

Sep 27, 2016

$1.4B

$850M

193

110

n/a

2015

Sep 24, 2015

$1.4B

$785M

200

144

n/a

2014

Sep 25, 2014

$1.2B

$746M

200

140

n/a

2013

Sep 26, 2013

$989M

$550M

110

100

n/a

2012

Sep 27, 2012

$670M

$434M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

4.5%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$12B

$7.9B

57.1%

$6.7B

22.8%

333

240

139

105

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Apr 22, 2026

COLLEYVILLE, TX

Team lift out

Ibd to ibd

1.1%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Mar 31, 2026

Apr 1, 2026

LAGUNA HILLS, CA

Team lift out

Ibd to ibd

0.8%

HARVEST INVESTMENT SERVICES, LLC

Aug 30, 2024

Sep 3, 2024

PAWLEYS ISLAND, SC

Team lift out

Ibd to RIA

1.1%

SOWELL MANAGEMENT

Sep 8, 2021

Sep 16, 2021

IRVINGTON, VA

Team lift out

RIA to RIA

1.4%

MSH CAPITAL ADVISORS LLC

Jun 20, 2017

Jun 22, 2017

DALLAS, TX

Team lift out

Other

2.9%

COMMONWEALTH FINANCIAL NETWORK

Jan 14, 2016

IRVING, TX

Team lift out

Other

2.2%

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Nov 18, 2015

Nov 16, 2015

WORTHINGTON, OH

Team lift out

Other

4.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Jul 27, 2026

Jul 20, 2026

BOERNE, TX

Team lift out

Wirehouse to ibd

0.0%

WELLS FARGO ADVISORS

Dec 17, 2025

Dec 5, 2025

WILLISTON, VT

Team lift out

Wirehouse to ibd

0.1%

WELLS FARGO ADVISORS

Oct 2, 2025

Sep 12, 2025

ORANGE, CA

Team lift out

Wirehouse to ibd

0.1%

B. RILEY WEALTH ADVISORS, INC.

Sep 16, 2025

Jan 5, 2026

IRVINE, CA

Team lift out

Ibd to ibd

1.1%

MORGAN STANLEY

Feb 27, 2025

Feb 14, 2025

VISALIA, CA

Team lift out

Wirehouse to ibd

0.0%

B. RILEY WEALTH ADVISORS, INC.

Sep 26, 2024

Sep 19, 2024

MEMPHIS, TN

Team lift out

Ibd to ibd

1.5%

LPL FINANCIAL LLC

Apr 23, 2024

Jun 17, 2024

PEORIA, IL

Team lift out

Ibd to ibd

0.0%

PAINTER, SMITH AND AMBERG INC.

Jan 17, 2024

Jan 22, 2024

REDLANDS, CA

Firm absorbed

RIA to ibd

100.0%

HILLTOP SECURITIES INC.

Oct 12, 2023

Sep 21, 2023

DALLAS, TX

Team lift out

Ibd to ibd

1.6%

WELLS FARGO ADVISORS

Feb 18, 2022

KNOXVILLE, TN

Team lift out

Wirehouse to RIA

0.1%

DORSEY & COMPANY INC.

Dec 3, 2021

Oct 7, 2024

NEW ORLEANS, LA

Firm absorbed

RIA to RIA

91.7%

LPL FINANCIAL LLC

Apr 22, 2021

Sep 19, 2024

BEND, OR

Team lift out

Ibd to RIA

0.0%

SUMMIT FINANCIAL GROUP INC

Apr 19, 2021

Apr 28, 2021

SOUTHGATE, MI

Team lift out

Ibd to RIA

1.1%

SUMMIT FINANCIAL GROUP INC

Mar 3, 2021

Mar 4, 2021

CINCINNATI, OH

Team lift out

Ibd to RIA

0.7%

SUMMIT FINANCIAL GROUP INC

Jan 26, 2021

Jan 25, 2021

CLARKSTON, MI

Team lift out

Ibd to RIA

0.7%

MORGAN STANLEY

Oct 7, 2020

Nov 6, 2020

RENO, NV

Team lift out

Wirehouse to RIA

0.0%

WELLS FARGO ADVISORS

Aug 20, 2019

Aug 22, 2019

CRYSTAL LAKE, IL

Team lift out

Wirehouse to RIA

0.1%

MORGAN STANLEY

Jul 2, 2018

Jun 29, 2018

ARLINGTON, TX

Team lift out

Other

0.0%

SUMMIT FINANCIAL GROUP INC

Apr 3, 2017

Mar 27, 2017

CUMBERLAND, MD

Team lift out

Other

0.7%

WELLS FARGO ADVISORS

Aug 31, 2016

LEMOYNE, PA

Team lift out

Other

0.0%