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
F••• P••••••••• W••••• A•••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Feb 19, 2026 · 3 filings
SEC status approved since Mar 23, 2026
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$118M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$119M as of Jul 21, 2026
Feb 19, 2026$113M then
HNW client RAUM$46.7M as of Jul 21, 2026
Feb 19, 2026$58.6M then
State-registered IARs (5.B.3)1 as of Jul 21, 2026
Feb 19, 20261 then
Employees (5.A)1 as of Jul 21, 2026
Feb 19, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 324derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $240,821derivedRAUM 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
- 1.0derived1 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
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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
- Individuals$71.7M60%
- High-net-worth individuals$46.7M39%
- Corporations and businesses$592,8540.5%
- Individual clients
- 297reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 494reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• B••• M••••••••• | Chandler, Az | Jun 2, 2020 | 21 y | 3 |
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 headcount1 left over 36 months
Left, latest
- M•••••• S•••• T•••• to V••••••• A•••••••• I•••Nov 6, 2024 · RIA to affiliated broker-dealer or bank
- S••••• R••• W•••• to E••••• W••••• M••••••••• L••Feb 17, 2022 · RIA to RIA
Joined, latest
- M•••••• S•••• T•••• from C•••••• S••••• • C••• I•••Mar 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• R••••• B••• M••••••••• from C••••• W••••• A•••••••• L••Jun 2, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J•••••• R••••• B••• · Managing Member/Ccocontrolsince 02/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Chandler, Az · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 499 to 494Apr 27, 2026 to Jul 21, 2026
- Corporate clients · 3 to 2Apr 27, 2026 to Jul 21, 2026
- HNW clients · 34 to 27Apr 27, 2026 to Jul 21, 2026
- Individual clients · 272 to 297Apr 27, 2026 to Jul 21, 2026
- Discretionary RAUM · $113M to $119MApr 27, 2026 to Jul 21, 2026
- HNW RAUM · $58.6M to $46.7MApr 27, 2026 to Jul 21, 2026
- Individual RAUM · $53.6M to $71.7MApr 27, 2026 to Jul 21, 2026
- RAUM · $113M to $119MApr 27, 2026 to Jul 21, 2026
Signals
2 dated events
- M•••••• S•••• T•••• left F••• P••••••••• W••••• A•••••••• L•• for V••••••• A•••••••• I••• (registered 2025-11-12)Nov 6, 2024 · Advisor changed firm · fact
- S••••• R••• W•••• left F••• P••••••••• W••••• A•••••••• L•• for E••••• W••••• M••••••••• L•• (registered 2022-03-31)Feb 17, 2022 · Advisor changed firm · 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
- c••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-382-3676reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/form-prosperity-wealth-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-382-3676reportedpublic record, Form ADV, Jul 21, 2026
- public contact f•••
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- f•••••••••.comreportedpublished 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026