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.
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SEC-registered adviser
P••••••••• P•••••••
Legal name T•• • T•••• C•••••• D•• P••••••••• P•••••••
Latest filing Jul 30, 2026
First filing on the tape Aug 21, 2025 · 6 filings
SEC status approved since Aug 21, 2025
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$177M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$177M as of Jul 30, 2026
Aug 21, 2025$125M then
HNW client RAUM$147M as of Jul 30, 2026
Aug 21, 2025$93.3M then
State-registered IARs (5.B.3)4 as of Jul 30, 2026
Aug 21, 20252 then
Employees (5.A)4 as of Jul 30, 2026
Aug 21, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 30, 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
- RAUM per advisor
- $44.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $305,510derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M83%
- Individuals$29.6M17%
- Corporations and businesses$125,3660.1%
- Individual clients
- 58reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 579reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••• S•••••• C••••• M••••••Certified Financial Planner | Greenfield, Ma | Jan 25, 2016 | 25 y | 0 |
| S••••• P•••••• P••••••Chartered Financial Analyst | Greenfield, Ma | Feb 7, 2024 | 10 y | 2 |
| M••• L••• F••••Certified Financial Planner | San Diego, Ca | Nov 14, 2025 | 17 y | 0 |
| D•••• M•••••• C••••••••Chartered Financial Analyst | Greenfield, Ma | Dec 3, 2025 | 12 y | 0 |
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
- S••••• P•••••• P•••••• from C•••••• W••••• M••••••••• L••Feb 7, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• W•••• S••••••• C••••• · Ccocontrolsince 01/2016 · owns less than 5%
- P••••••• S•••••• P•••••• · Owner, Investment Adviser Represenativecontrolsince 02/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenfield, Ma · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 537 to 579Jan 8, 2026 to Mar 5, 2026
- Advisory employees · 2 to 4Jan 8, 2026 to Mar 5, 2026
- HNW clients · 44 to 63Jan 8, 2026 to Mar 5, 2026
- Individual clients · 64 to 58Jan 8, 2026 to Mar 5, 2026
- State-registered IARs · 2 to 4Jan 8, 2026 to Mar 5, 2026
- Discretionary RAUM · $125M to $177MJan 8, 2026 to Mar 5, 2026
- HNW RAUM · $93.3M to $147MJan 8, 2026 to Mar 5, 2026
- Individual RAUM · $31.7M to $29.6MJan 8, 2026 to Mar 5, 2026
- RAUM · $125M to $177MJan 8, 2026 to Mar 5, 2026
- HQ city · to GREENFIELDNov 3, 2025 to Dec 12, 2025
- HQ state · to MANov 3, 2025 to Dec 12, 2025
- Other offices · 0 to 2Nov 3, 2025 to Dec 12, 2025
Signals
No event on the tape.
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
- 413-829-4832reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-829-4838reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/prosperitea-planning/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 413-829-4832reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- prosperiteaplanning.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $44.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026