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
Prosperity Planning
Legal name Prosperity Planning, Inc.
Latest filing May 15, 2026
First filing on the tape Aug 7, 2018 · 29 filings
SEC status approved since Sep 6, 2018
RAUM
$543M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$527M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$49.4M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$543M as of May 15, 2026
Mar 28, 2019$182M then
HNW client RAUM$449M as of May 15, 2026
Mar 28, 2019$132M then
State-registered IARs (5.B.3)10 as of May 15, 2026
Mar 28, 20195 then
Employees (5.A)13 as of May 15, 2026
Mar 28, 20199 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 8 to 10
Practice profile
derived from the filing of May 15, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $49.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $379,335derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $205M, 139 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$449M83%
- Individuals$78.3M14%
- Pension and profit-sharing plans$8.9M1.6%
- Charitable organizations$6.6M1.2%
- Corporations and businesses$637,3270.1%
- Individual clients
- 206reported
- HNW clients
- 177reported
- Pension plan clients
- n/areported
- Charitable clients
- 23reported
- Accounts
- 1,432reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $205M for 139 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lucinda Lynn RicheyCertified Financial Planner | North Kansas City, Mo | Sep 6, 2018 | 30 y | 4 |
| Ryan Kent NobleCertified Financial Planner | North Kansas City, Mo | Sep 6, 2018 | 21 y | 2 |
| Daniel Scott ReiterCertified Financial Planner | North Kansas City, Mo | Sep 6, 2018 | 11 y | 3 |
| Kenneth Austin Borum | North Kansas City, Mo | Sep 10, 2018 | 22 y | 1 |
| Colten Michael HonigmanCertified Financial Planner | North Kansas City, Mo | Aug 26, 2020 | 16 y | 0 |
| Alyssa Claire HonCertified Financial Planner | North Kansas City, Mo | Sep 22, 2020 | 11 y | 0 |
| Ryan WalkerCertified Financial Planner | North Kansas City, Mo | Jun 13, 2022 | 28 y | 0 |
| Justin Ronald LockeCertified Financial Planner | North Kansas City, Mo | Mar 23, 2023 | 15 y | 0 |
| Travis Adam FranksCertified Financial Planner | North Kansas City, Mo | Jul 16, 2025 | 12 y | 0 |
| James Frederick Watts | North Kansas City, Mo | Apr 10, 2026 | 23 y | 0 |
| Shayna Anastasia Vlock | North Kansas City, Mo | Aug 12, 2026 | 14 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
- Rachael Michelle Graf to Buttonwood Financial Group, LLCFeb 28, 2023 · RIA to RIA
Joined, latest
- Kenneth Austin Borum from Cetera Advisors LLCSep 10, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Lucinda Lynn Richey from Cetera Advisors LLCSep 6, 2018 · Other
- Rachael Michelle Graf from Cetera Advisors LLCSep 6, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Daniel Scott Reiter from Creative PlanningSep 6, 2018 · RIA to a newly registered adviser
- Ryan Kent Noble from Cetera Advisors LLCSep 6, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cetera Advisors LLCDec 31, 2018 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Austin Kenneth Borum · Vice President, Partnercontrolsince 08/2018 · owns 10% to 25%
- Kent Ryan Noble · Partner, Chief Compliance Officercontrolsince 08/2018 · owns 25% to 50%
- Scott Daniel Reiter · Partnercontrolsince 01/2019 · owns 25% to 50%
- Lynn Lucinda Richey · President, Partnercontrolsince 08/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| North Kansas City, Mo · principal | 11 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $465M to $543MJun 3, 2025 to Feb 20, 2026
- Accounts · 1,320 to 1,432Jun 3, 2025 to Feb 20, 2026
- Charity clients · 8 to 23Jun 3, 2025 to Feb 20, 2026
- Corporate clients · 1.0 to unsetJun 3, 2025 to Feb 20, 2026
- HNW clients · 145 to 177Jun 3, 2025 to Feb 20, 2026
- Individual clients · 212 to 206Jun 3, 2025 to Feb 20, 2026
- Pension plan clients · 3.0 to unsetJun 3, 2025 to Feb 20, 2026
- Assets in custody · $141M to $205MJun 3, 2025 to Feb 20, 2026
- State-registered IARs · 8 to 10Jun 3, 2025 to Feb 20, 2026
- Discretionary RAUM · $458M to $534MJun 3, 2025 to Feb 20, 2026
- HNW RAUM · $366M to $449MJun 3, 2025 to Feb 20, 2026
- Individual RAUM · $87.4M to $78.3MJun 3, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $7.0M to $9.6MJun 3, 2025 to Feb 20, 2026
- Pension RAUM · $6.3M to $8.9MJun 3, 2025 to Feb 20, 2026
- Financial planning clients · 251-500 to 251-500May 6, 2025 to Jun 3, 2025
- Accounts · 1,211 to 1,320Sep 10, 2024 to Feb 13, 2025
- Advisory employees · 8 to 10Sep 10, 2024 to Feb 13, 2025
- HNW clients · 127 to 145Sep 10, 2024 to Feb 13, 2025
- Individual clients · 208 to 212Sep 10, 2024 to Feb 13, 2025
- Assets in custody · $116M to $141MSep 10, 2024 to Feb 13, 2025
- Employees · 11 to 13Sep 10, 2024 to Feb 13, 2025
- Discretionary RAUM · $410M to $458MSep 10, 2024 to Feb 13, 2025
- HNW RAUM · $320M to $366MSep 10, 2024 to Feb 13, 2025
- Individual RAUM · $88.2M to $87.4MSep 10, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $7.0M to $7.0MSep 10, 2024 to Feb 13, 2025
- Pension RAUM · $5.2M to $6.3MSep 10, 2024 to Feb 13, 2025
- RAUM · $417M to $465MSep 10, 2024 to Feb 13, 2025
- HQ city · RIVERSIDE to NORTH KANSAS CITYMar 13, 2024 to Apr 19, 2024
- Accounts · 1,112 to 1,211Aug 8, 2023 to Mar 13, 2024
- Charity clients · 7 to 8Aug 8, 2023 to Mar 13, 2024
- HNW clients · 107 to 127Aug 8, 2023 to Mar 13, 2024
- Individual clients · 209 to 208Aug 8, 2023 to Mar 13, 2024
- Assets in custody · $93.7M to $116MAug 8, 2023 to Mar 13, 2024
- Financial planning clients · 101-250 to 251-500Aug 8, 2023 to Mar 13, 2024
- Discretionary RAUM · $336M to $410MAug 8, 2023 to Mar 13, 2024
- HNW RAUM · $253M to $320MAug 8, 2023 to Mar 13, 2024
- Individual RAUM · $82.8M to $88.2MAug 8, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $6.4M to $7.0MAug 8, 2023 to Mar 13, 2024
- Pension RAUM · $4.8M to $5.2MAug 8, 2023 to Mar 13, 2024
- RAUM · $342M to $417MAug 8, 2023 to Mar 13, 2024
Signals
3 dated events
- Rachael Michelle Graf left Prosperity Planning for Buttonwood Financial Group, Llc (registered 2024-06-14)Feb 28, 2023 · Advisor changed firm · fact
- Scott Daniel Reiter (Partner) appeared on Schedule A of Prosperity PlanningMar 28, 2019 · Control person joined · fact
- Prosperity Planning filed its initial SEC registration (Form ADV)Aug 7, 2018 · 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 email
- info@prosperityplanninginc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 816-587-0960reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 816-587-7526reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/prosperity-planning-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- prosperityplanninginc.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 816-587-7526reportedpublic record, Form ADV, May 15, 2026
- Team page
- prosperityplanninginc.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $49.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026