DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Prospera Financial Services, Inc.
Latest filing Sep 30, 2025
First filing on the tape Nov 17, 2011 · 98 filings
SEC status approved since Feb 1, 2006
RAUM
$12B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
86%
$11B individuals and HNW
Advisors
269
registered through the firm on IAPD
RAUM per advisor
$46.2M
derived; firm RAUM over IAPD count
Employees
333
207 advisory (5.B.1)
Offices
139
beyond the principal office
Private funds
0
reported on Schedule D
History
98 filings and snapshots on the tape
RAUM$12B as of Sep 30, 2025
Sep 27, 2012$670M then
HNW client RAUM$5.7B as of Sep 30, 2025
Sep 28, 2018$1.4B then
State-registered IARs (5.B.3)259 as of Sep 30, 2025
Sep 26, 2013100 then
Employees (5.A)333 as of Sep 30, 2025
Sep 26, 2013110 then
Private funds: no history
RAUM +57% over the last fiscal year+23% a year over threeIARs 190 to 259offices 105 to 139
Practice profile
derived from the filing of Sep 30, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $46.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $919,175derivedHNW RAUM over HNW clients
- Average account
- $421,529derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.9derived140 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $3.9BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.7B47%
- Individuals$5.0B41%
- Pension and profit-sharing plans$1.1B8.9%
- Corporations and businesses$249M2.0%
- Charitable organizations$60.5M0.5%
- Pooled investment vehicles$30.8M0.3%
- Individual clients
- 12,511reported
- HNW clients
- 6,195reported
- Pension plan clients
- 228reported
- Charitable clients
- 61reported
- Accounts
- 29,500reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $7.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.09 related_bd=true related_bank=false bd_reps=220.0derived
Advisors registered through the firm
270 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Tim Alan Edwards | Dallas, Tx | Sep 1, 1989 | 39 y | 0 |
| Robert Lee Cecil | Dallas, Tx | Jul 31, 1998 | 44 y | 0 |
| Jana Darlene WatersCertified Financial Planner | Southlake, Tx | Feb 12, 2003 | 27 y | 0 |
| Casey Dan Waits | Dallas, Tx | Feb 18, 2003 | 31 y | 0 |
| Richard Dean Pascuzzi | Dallas, Tx | Jun 27, 2003 | 45 y | 1 |
| George Wayne Lollis | Tyler, Tx | Jan 21, 2004 | 51 y | 1 |
| Margaret Anne Thompson | Hurst, Tx | Feb 2, 2004 | 28 y | 1 |
| David Walter Stringer | Dallas, Tx | Dec 17, 2004 | 40 y | 0 |
| Judy Kay Moore | Austin, Tx | Jan 6, 2005 | 46 y | 0 |
| David Alan Yarbrough | Hurst, Tx | Jan 14, 2005 | 43 y | 0 |
| Robert Chester Albritton | Ft Worth, Tx | Jan 14, 2005 | 39 y | 0 |
| Michael Joseph Gomez | Lubbock, Tx | May 31, 2005 | 41 y | 3 |
| Joel Kirk Corbin | Lubbock, Tx | May 31, 2005 | 36 y | 3 |
| Wilfred Carter | Lubbock, Tx | Jun 8, 2005 | 33 y | 3 |
| Virginia Paige HansenCertified Financial Planner | Asheville, Nc | Jun 16, 2006 | 29 y | 1 |
| Lisa Baker Lawwill | Dallas, Tx | Jun 16, 2006 | 32 y | 1 |
| Robert Andrew Botel | Dallas, Tx | Jun 20, 2006 | 32 y | 0 |
| Linda Scoville Cartwright | Dallas, Tx | Dec 6, 2006 | 39 y | 2 |
| Bobby Joe Boyd | Dallas, Tx | Jan 11, 2007 | 33 y | 2 |
| Brian Joseph FeesCertified Financial Planner | Gonzales, Tx | Jul 20, 2007 | 20 y | 1 |
| Kurt Allen Koke | Hurst, Tx | Feb 19, 2008 | 40 y | 0 |
| Christopher Donald Pascuzzi | Dallas, Tx | Apr 16, 2008 | 19 y | 1 |
| Dax Thomas Williamson | Dallas, Tx | Nov 20, 2008 | 30 y | 2 |
| Clayton Wellington James | Williamsburg, Va | Feb 20, 2009 | 23 y | 3 |
| Kenneth Clayton Price | Glen Allen, Va | Mar 3, 2009 | 29 y | 1 |
| Dennis Alan Perkins | Glen Allen, Va | Mar 3, 2009 | 22 y | 1 |
| Bryan Paul Bernard | Colleyview, Tx | Aug 3, 2009 | 36 y | 0 |
| Jason Anton Bednarz | Dallas, Tx | Oct 30, 2009 | 29 y | 2 |
| Robert Fremont Thorndike | Dallas, Tx | May 12, 2010 | 42 y | 2 |
| Sonia Raquel Biasatti | Dallas, Tx | Feb 24, 2011 | 31 y | 0 |
| James Michael Hines | Dallas, Tx | Jul 1, 2011 | 20 y | 2 |
| Jason Leon Steele | Raleigh, Nc | May 29, 2012 | 30 y | 2 |
| Anthony Charles Montanari | Charlotte, Nc | Jul 16, 2012 | 28 y | 3 |
| Michael Alan Taylor | Dallas, Tx | Aug 23, 2012 | 38 y | 1 |
| Jimmy Rhea Day | Weatherford, Tx | Aug 31, 2012 | 33 y | 1 |
| Christopher David White | Frisco, Tx | Apr 12, 2013 | 22 y | 0 |
| Katrina Kerr HayesCertified Financial Planner | Matthews, Nc | Jun 28, 2013 | 25 y | 2 |
| John P Cervantes | Matthews, Nc | Jul 3, 2013 | 26 y | 3 |
| Jason Eric Craig | Mount Holly, Nc | Nov 1, 2013 | 25 y | 3 |
| Jed Lee Kutzen | Dallas, Tx | Jul 1, 2014 | 20 y | 1 |
Advisor movement
12 left, 19 joined in 12 months
net +7 in 12 months2 left in 90 days8 joined in 90 daysdeparture rate 4.5% of current headcount26 left over 36 months
Left, latest
- Stacey Lynn Tucker to OnedigitalSep 1, 2026 · Other
- Mitchell Randall to Pnc Wealth ManagementJun 29, 2026 · Affiliated broker-dealer or bank to another
- Andrew Bryan Katz to First Heartland Consultants, Inc.May 1, 2026 · Affiliated broker-dealer or bank to another
- Houston G Little to LPL Financial LLCApr 22, 2026 · Affiliated broker-dealer or bank to another
- Tyler D Little to LPL Financial LLCApr 22, 2026 · Affiliated broker-dealer or bank to another
- David P Little to LPL Financial LLCApr 22, 2026 · Affiliated broker-dealer or bank to another
- Robert Ricardo Fragnito to Cambridge Investment Research Advisors, Inc.Mar 31, 2026 · Affiliated broker-dealer or bank to another
- Marco Fragnito to Cambridge Investment Research Advisors, Inc.Mar 31, 2026 · Affiliated broker-dealer or bank to another
- Michael Thomas Beard to Raymond James Financial Services Advisors, IncMar 30, 2026 · Affiliated broker-dealer or bank to another
- David Weiss to Allworth Financial, L.P.Feb 20, 2026 · Affiliated broker-dealer or bank to another
- Konstantin Richard Danias to Paradigm Investment Advisory, LLCNov 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- Frank Henry Bullinger to Titleist Asset Management, LLCOct 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- Julie Ann Hinman to Land Advisory Co., LLCAug 20, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Christopher James Robb to LPL Financial LLCJun 2, 2025 · Affiliated broker-dealer or bank to another
- Kelley Mellar Selph to LPL Financial LLCMay 20, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Tamara Lawson Hackett from Robert W. Baird & Co. IncorporatedSep 16, 2026 · RIA to affiliated broker-dealer or bank
- Patrick Charles Sweeney from Wells Fargo AdvisorsAug 28, 2026 · Wirehouse to affiliated broker-dealer or bank
- Austin Robert Collins from Cambridge Investment Research Advisors, Inc.Aug 24, 2026 · Affiliated broker-dealer or bank to another
- Mary Kathleen Flaherty from World Investment Advisors, LLCAug 13, 2026 · Other
- John Cleaveland Palmer from Wells Fargo AdvisorsAug 7, 2026 · Wirehouse to affiliated broker-dealer or bank
- Amy Kristine Ochs from Wells Fargo AdvisorsJul 20, 2026 · Wirehouse to affiliated broker-dealer or bank
- Christopher Aaron Palmer from Wells Fargo AdvisorsJul 17, 2026 · Wirehouse to affiliated broker-dealer or bank
- Joan Hsu from Wells Fargo AdvisorsJul 13, 2026 · Wirehouse to affiliated broker-dealer or bank
- Thomas Milan Wyszynski from MML Investors Services, LLCApr 24, 2026 · Affiliated broker-dealer or bank to another
- David Keith Cole from B. Riley Wealth Advisors, Inc.Apr 20, 2026 · Affiliated broker-dealer or bank to another
- Rebecca Elizabeth Reynaud from Wells Fargo AdvisorsApr 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Alana Kay Davis from Esi Financial AdvisorsMar 27, 2026 · RIA to affiliated broker-dealer or bank
- Anatoly Khait from World Investment Advisors, LLCFeb 17, 2026 · Other
- Joseph Daniel Bergin from B. Riley Wealth Advisors, Inc.Jan 5, 2026 · Affiliated broker-dealer or bank to another
- John J Harm from Wells Fargo AdvisorsDec 5, 2025 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for LPL Financial LLCApr 22, 2026 · Colleyville, Tx
- 2 left for Cambridge Investment Research Advisors, Inc.Mar 31, 2026 · Laguna Hills, Ca
- 2 left for Harvest Investment Services, LLCAug 30, 2024 · Pawleys Island, Sc
- 2 left for Sowell ManagementSep 8, 2021 · Irvington, Va
- 3 left for Msh Capital Advisors LLCJun 20, 2017 · Dallas, Tx
- 2 left for Commonwealth Financial NetworkJan 14, 2016 · Irving, Tx
- 4 left for Cambridge Investment Research Advisors, Inc.Nov 18, 2015 · Worthington, Oh
- 2 joined from Wells Fargo AdvisorsJul 27, 2026 · Boerne, Tx
- 2 joined from Wells Fargo AdvisorsDec 17, 2025 · Williston, Vt
- 2 joined from Wells Fargo AdvisorsOct 2, 2025 · Orange, Ca
- 2 joined from B. Riley Wealth Advisors, Inc.Sep 16, 2025 · Irvine, Ca
- 2 joined from Morgan StanleyFeb 27, 2025 · Visalia, Ca
- 5 joined from B. Riley Wealth Advisors, Inc.Sep 26, 2024 · Memphis, Tn
- 2 joined from LPL Financial LLCApr 23, 2024 · Peoria, Il
- 4 joined from Painter, Smith And Amberg Inc.Jan 17, 2024 · Redlands, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Tim Alan Edwards · Co-Ceocontrolsince 07/2021 · owns less than 5%
- Richard Dean Pascuzzi · Executive Vice President, Secretarycontrolsince 05/1998 · owns less than 5%
- David Walter Stringer · Co-Ceocontrolsince 07/2021 · owns less than 5%
- Tarah Elizabeth Williams · President, Chief Operating Officercontrolsince 10/2022 · owns less than 5%
- Tim Alan Edwards · Share Holdercontrolsince 07/2021 · owns 25% to 50% of Prospera Financial, LLC
- Richard Dean Pascuzzi · Share Holdercontrolsince 07/2021 · owns 25% to 50% of Prospera Financial, LLC
- David Walter Stringer · Share Holdercontrolsince 07/2021 · owns 25% to 50% of Prospera Financial, LLC
- Shawn Baxter · Chief Compliance Officersince 08/2024 · owns less than 5%
- Edward Kern · Chief Financial Officersince 10/2017 · owns less than 5%
Entity owners
- Prospera Financial, LLC · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- Prospera Life And Annuity Services, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 73 | 5 | 3 | ||
| Ballwin, Mo | 13 | 0 | 0 | ||
| Metairie, La | 11 | 0 | 0 | ||
| Redlands, Ca | 9 | 4 | 0 | ||
| Lafayette, La | 8 | 1 | 0 | ||
| Hurst, Tx | 7 | 0 | 0 | ||
| Memphis, Tn | 7 | 1 | 0 | ||
| Irvine, Ca | 7 | 3 | 0 | ||
| Mandeville, La | 6 | 1 | 0 | ||
| St Peters, Mo | 5 | 1 | 0 | ||
| St Louis, Mo | 5 | 0 | 0 | ||
| Knoxville, Tn | 5 | 1 | 0 | ||
| Lubbock, Tx | 5 | 0 | 0 | ||
| Weatherford, Tx | 4 | 0 | 0 | ||
| New York, Ny | 4 | 2 | 0 | ||
| Glen Allen, Va | 4 | 2 | 0 | ||
| Harrisburg, Pa | 4 | 0 | 0 | ||
| Incline Village, Nv | 4 | 0 | 0 | ||
| Crown Point, In | 4 | 1 | 0 | ||
| Peroria, Il | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Metairie, LA12 employees
- Hurst, TX8 employees
- Dallas, TX5 employees
- Bend, OR5 employees
- Harrisburg, PA4 employees
- Redlands, CA4 employees
- Tyler, TX4 employees
- Belmont, NC3 employees
- Mandeville, LA3 employees
- Lafayette, LA2 employees
- Crystal Lake, IL2 employees
- Incline Village, NV2 employees
- Buckeye, AZ2 employees
- Denton, TX2 employees
- Dallas, TX2 employees
- Dallas, TX2 employees
- Peoria, IL2 employees
- Colleyville, TX2 employees
- Glen Allen, VA2 employees
- Raleigh, NC2 employees
- Charlotte, NC2 employees
- Weatherford, TX2 employees
- Norfolk, VA2 employees
- Lafayette, LA2 employees
- Cumberland, MD2 employees
What changed
consecutive filings, newest first
- Accounts · 23,433 to 29,500Aug 1, 2025 to Sep 30, 2025
- Advisory employees · 159 to 207Aug 1, 2025 to Sep 30, 2025
- BD registered reps · 168 to 220Aug 1, 2025 to Sep 30, 2025
- Charity clients · 69 to 61Aug 1, 2025 to Sep 30, 2025
- Corporate clients · 126 to 103Aug 1, 2025 to Sep 30, 2025
- HNW clients · 5,788 to 6,195Aug 1, 2025 to Sep 30, 2025
- Individual clients · 9,452 to 12,511Aug 1, 2025 to Sep 30, 2025
- Pension plan clients · 192 to 228Aug 1, 2025 to Sep 30, 2025
- Employees · 265 to 333Aug 1, 2025 to Sep 30, 2025
- Insurance-licensed employees · 5 to 10Aug 1, 2025 to Sep 30, 2025
- State-registered IARs · 201 to 259Aug 1, 2025 to Sep 30, 2025
- Other offices · 123 to 139Aug 1, 2025 to Sep 30, 2025
- Discretionary RAUM · $6.2B to $8.4BAug 1, 2025 to Sep 30, 2025
- HNW RAUM · $5.0B to $5.7BAug 1, 2025 to Sep 30, 2025
- Individual RAUM · $3.3B to $5.0BAug 1, 2025 to Sep 30, 2025
- Non-discretionary RAUM · $3.6B to $4.1BAug 1, 2025 to Sep 30, 2025
- Pension RAUM · $858M to $1.1BAug 1, 2025 to Sep 30, 2025
- Pooled vehicle RAUM · $28.1M to $30.8MAug 1, 2025 to Sep 30, 2025
- RAUM · $9.8B to $12BAug 1, 2025 to Sep 30, 2025
- Wrap assets (manager) · $6.0B to $7.2BAug 1, 2025 to Sep 30, 2025
- Related adviser · true to falseApr 8, 2025 to Aug 1, 2025
- Financial planning clients · 11-25 to 11-25Sep 30, 2024 to Apr 8, 2025
- Related adviser · false to trueSep 30, 2024 to Apr 8, 2025
- Accounts · 20,915 to 23,433Aug 15, 2024 to Sep 30, 2024
- Advisory employees · 156 to 159Aug 15, 2024 to Sep 30, 2024
- BD registered reps · 163 to 168Aug 15, 2024 to Sep 30, 2024
- Charity clients · 87 to 69Aug 15, 2024 to Sep 30, 2024
- Corporate clients · 145 to 126Aug 15, 2024 to Sep 30, 2024
- HNW clients · 5,053 to 5,788Aug 15, 2024 to Sep 30, 2024
- Individual clients · 8,475 to 9,452Aug 15, 2024 to Sep 30, 2024
- Pension plan clients · 205 to 192Aug 15, 2024 to Sep 30, 2024
- Employees · 240 to 265Aug 15, 2024 to Sep 30, 2024
- State-registered IARs · 190 to 201Aug 15, 2024 to Sep 30, 2024
- Other offices · 105 to 123Aug 15, 2024 to Sep 30, 2024
- Discretionary RAUM · $4.9B to $6.2BAug 15, 2024 to Sep 30, 2024
- HNW RAUM · $3.9B to $5.0BAug 15, 2024 to Sep 30, 2024
- Individual RAUM · $2.7B to $3.3BAug 15, 2024 to Sep 30, 2024
- Non-discretionary RAUM · $3.0B to $3.6BAug 15, 2024 to Sep 30, 2024
- Pension RAUM · $783M to $858MAug 15, 2024 to Sep 30, 2024
- Pooled vehicle RAUM · $19.8M to $28.1MAug 15, 2024 to Sep 30, 2024
Signals
60 dated events
- Tamara Lawson Hackett registered as an investment adviser representative at Prospera Financial Services, Inc.Sep 16, 2026 · Advisor registered · fact
- Jonathan Fuimaono no longer holds an investment adviser registration (last listed at Prospera Financial Services, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Stacey Lynn Tucker left Prospera Financial Services, Inc. for Onedigital (registered 2026-09-01)Sep 1, 2026 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Boerne, TX) for Prospera Financial Services, Inc. within 3 daysJul 27, 2026 · Team lift-out · derived
- Mitchell Randall left Prospera Financial Services, Inc. for Pnc Wealth Management (registered 2026-07-01)Jun 29, 2026 · Advisor changed firm · fact
- Andrew Bryan Katz left Prospera Financial Services, Inc. for First Heartland Consultants, Inc. (registered 2026-05-01)May 1, 2026 · Advisor changed firm · fact
- Tyler D Little left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2026-04-22)Apr 22, 2026 · Advisor changed firm · fact
- Houston G Little left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2026-04-22)Apr 22, 2026 · Advisor changed firm · fact
- David P Little left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2026-04-22)Apr 22, 2026 · Advisor changed firm · fact
- 3 advisors left Prospera Financial Services, Inc. (Colleyville, TX) for LPL Financial LLC on the same dayApr 22, 2026 · Team lift-out · derived
- Robert Ricardo Fragnito left Prospera Financial Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-03-31)Mar 31, 2026 · Advisor changed firm · fact
- Marco Fragnito left Prospera Financial Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2026-04-01)Mar 31, 2026 · Advisor changed firm · fact
- 2 advisors left Prospera Financial Services, Inc. (Laguna Hills, CA) for Cambridge Investment Research Advisors, Inc. on the same dayMar 31, 2026 · Team lift-out · derived
- Michael Thomas Beard left Prospera Financial Services, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-03-31)Mar 30, 2026 · Advisor changed firm · fact
- David Weiss left Prospera Financial Services, Inc. for Allworth Financial, L.P. (registered 2026-03-06)Feb 20, 2026 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Williston, VT) for Prospera Financial Services, Inc. on the same dayDec 17, 2025 · Team lift-out · derived
- Konstantin Richard Danias left Prospera Financial Services, Inc. for Paradigm Investment Advisory, Llc (registered 2025-11-07)Nov 4, 2025 · Advisor changed firm · fact
- Frank Henry Bullinger left Prospera Financial Services, Inc. for Titleist Asset Management, Llc (registered 2025-10-27)Oct 23, 2025 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Orange, CA) for Prospera Financial Services, Inc. on the same dayOct 2, 2025 · Team lift-out · derived
- Prospera Financial Services, Inc. reported 259 state-registered advisory representatives, up from 201 (2025-08-01 to 2025-09-30)Sep 30, 2025 · Advisor headcount change · derived
- Prospera Financial Services, Inc. reported 139 offices beyond its principal office, up from 123 (2025-08-01 to 2025-09-30)Sep 30, 2025 · Office count change · derived
- Prospera Financial Services, Inc. reported RAUM $12.4B, up 27% from $9.8B (2025-08-01 to 2025-09-30)Sep 30, 2025 · RAUM change · derived
- 2 advisors left B. Riley Wealth Advisors, Inc. (Irvine, CA) for Prospera Financial Services, Inc. a day apartSep 16, 2025 · Team lift-out · derived
- Julie Ann Hinman left Prospera Financial Services, Inc. for Land Advisory Co., Llc (registered 2025-08-20)Aug 20, 2025 · Advisor changed firm · fact
- Christopher James Robb left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2025-06-02)Jun 2, 2025 · Advisor changed firm · fact
- Kelley Mellar Selph left Prospera Financial Services, Inc. for Lpl Financial Llc (registered 2025-05-19)May 20, 2025 · Advisor changed firm · fact
- Michael Scott Martin left Prospera Financial Services, Inc. for Hibernia Wealth Partners, Llc (registered 2025-03-19)Mar 18, 2025 · Advisor changed firm · fact
- 2 advisors left Morgan Stanley (Visalia, CA) for Prospera Financial Services, Inc. a day apartFeb 27, 2025 · Team lift-out · derived
- Jonathan Dale Stein left Prospera Financial Services, Inc. for Kestra Advisory Services, Llc (registered 2024-11-28)Nov 25, 2024 · Advisor changed firm · fact
- Prospera Financial Services, Inc. reported 123 offices beyond its principal office, up from 105 (2024-08-15 to 2024-09-30)Sep 30, 2024 · Office count change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/PROSPERA-FINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PROSPERAFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 972-581-3000reportedpublic record, Form ADV, Sep 30, 2025
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026