DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••••• R•••• L••
Latest filing Mar 10, 2026
First filing on the tape May 12, 2020 · 11 filings
SEC status approved since Jun 12, 2020
RAUM
$172M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
73%
$126M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$86.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$172M as of Mar 10, 2026
Mar 25, 2021$121M then
HNW client RAUM$110M as of Mar 10, 2026
Mar 25, 2021$76.6M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 25, 20211 then
Employees (5.A)3 as of Mar 10, 2026
Mar 25, 20213 then
Private funds: no history
RAUM +9.8% over the last fiscal year+8.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $86.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $951,998derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M64%
- Corporations and businesses$42.0M24%
- Individuals$16.7M9.7%
- Pension and profit-sharing plans$3.3M1.9%
- Charitable organizations$628,7560.4%
- Individual clients
- 39reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 181reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• T••••• H••••••Certified Financial Planner | Santa Ana, Ca | Jan 9, 2025 | 21 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E•••• T••••• H•••••• from F•••••••• A•••••••• L••Jan 9, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• E••••• T••••• · Principal And Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
- H••••••• E••••• T••••• · Principalcontrolsince 05/2015 · owns 75% or more of E• V••••••• L••
- M••••••• M••••••• W•••••• · Minority Ownersince 01/2016 · owns 10% to 25%
Entity owners
- E• V••••••• L•• · Parent / Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• A•••••••• I••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Ana, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 167 to 181Mar 14, 2025 to Mar 10, 2026
- HNW clients · 29 to 25Mar 14, 2025 to Mar 10, 2026
- Individual clients · 31 to 39Mar 14, 2025 to Mar 10, 2026
- Employees · 4 to 3Mar 14, 2025 to Mar 10, 2026
- Discretionary RAUM · $152M to $169MMar 14, 2025 to Mar 10, 2026
- HNW RAUM · $99.5M to $110MMar 14, 2025 to Mar 10, 2026
- Individual RAUM · $12.1M to $16.7MMar 14, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $4.6M to $3.3MMar 14, 2025 to Mar 10, 2026
- Pension RAUM · $4.6M to $3.3MMar 14, 2025 to Mar 10, 2026
- RAUM · $157M to $172MMar 14, 2025 to Mar 10, 2026
- Accounts · 63 to 167Sep 9, 2024 to Mar 14, 2025
- Corporate clients · unset to 5.0Sep 9, 2024 to Mar 14, 2025
- HNW clients · 21 to 29Sep 9, 2024 to Mar 14, 2025
- Individual clients · 35 to 31Sep 9, 2024 to Mar 14, 2025
- Financial planning clients · 11-25 to 11-25Sep 9, 2024 to Mar 14, 2025
- Discretionary RAUM · $139M to $152MSep 9, 2024 to Mar 14, 2025
- HNW RAUM · $71.8M to $99.5MSep 9, 2024 to Mar 14, 2025
- Individual RAUM · $32.4M to $12.1MSep 9, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $4.2M to $4.6MSep 9, 2024 to Mar 14, 2025
- Pension RAUM · $4.2M to $4.6MSep 9, 2024 to Mar 14, 2025
- RAUM · $143M to $157MSep 9, 2024 to Mar 14, 2025
- Accounts · 151 to 63Jun 1, 2023 to Mar 14, 2024
- Advisory employees · 1 to 2Jun 1, 2023 to Mar 14, 2024
- HNW clients · 19 to 21Jun 1, 2023 to Mar 14, 2024
- Individual clients · 33 to 35Jun 1, 2023 to Mar 14, 2024
- Insurance-licensed employees · 0 to 1Jun 1, 2023 to Mar 14, 2024
- Financial planning clients · 1-10 to 11-25Jun 1, 2023 to Mar 14, 2024
- State-registered IARs · 1 to 2Jun 1, 2023 to Mar 14, 2024
- Discretionary RAUM · $131M to $139MJun 1, 2023 to Mar 14, 2024
- HNW RAUM · $65.2M to $71.8MJun 1, 2023 to Mar 14, 2024
- Individual RAUM · $33.1M to $32.4MJun 1, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $3.5M to $4.2MJun 1, 2023 to Mar 14, 2024
- Pension RAUM · $3.6M to $4.2MJun 1, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · 0.0 to unsetJun 1, 2023 to Mar 14, 2024
- RAUM · $135M to $143MJun 1, 2023 to Mar 14, 2024
- Accounts · 136 to 151Mar 15, 2022 to Mar 20, 2023
- Corporate clients · 6.0 to unsetMar 15, 2022 to Mar 20, 2023
- HNW clients · 16 to 19Mar 15, 2022 to Mar 20, 2023
- Individual clients · 31 to 33Mar 15, 2022 to Mar 20, 2023
- Pooled vehicle clients · 0.0 to unsetMar 15, 2022 to Mar 20, 2023
Signals
1 dated events
- P••••••••• R•••• L•• filed its initial SEC registration (Form ADV)May 12, 2020 · First SEC registration · fact
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
- Business phone
- 714-241-0212reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/prosperity-road-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- P•••••••••R•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (714) 241-0212reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $86.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026