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 Wealth Planning LLC
Latest filing Aug 25, 2026
First filing on the tape Jun 18, 2021 · 38 filings
SEC status approved since Jul 19, 2021
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$268M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$67.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$269M as of Aug 25, 2026
Mar 25, 2022$117M then
HNW client RAUM$239M as of Aug 25, 2026
Mar 25, 2022$85.7M then
State-registered IARs (5.B.3)4 as of Aug 25, 2026
Mar 25, 20222 then
Employees (5.A)7 as of Aug 25, 2026
Mar 25, 20224 then
Private funds: no history
RAUM +25% over the last fiscal year+28% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Aug 25, 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
- $67.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $433,534derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $269M, 173 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$239M89%
- Individuals$29.2M11%
- Corporations and businesses$905,6070.3%
- Individual clients
- 61reported
- HNW clients
- 111reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 621reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $269M for 173 clientsreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| Carolanne M ChavanneCertified Financial Planner | Frisco, Tx | Aug 9, 2021 | 33 y | 2 |
| Jordan Steven BromleyCertified Financial Planner | Irvine, Ca | Jul 30, 2024 | 10 y | 1 |
| Robert Easton PriceCertified Financial Planner | Irvine, Ca | Jun 16, 2025 | 11 y | 2 |
| Ava Elizabeth PompayCertified Financial Planner | Irvine, Ca | Apr 9, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- Jonah B. Shafer to Mercer Global Advisors Inc.Apr 10, 2024 · RIA to RIA
- Ryan Michael Walker to Stansberry Asset Management, LLCNov 15, 2022 · RIA to RIA
Joined, latest
- Robert Easton Price from Apella WealthJun 16, 2025 · RIA to RIA
- Jordan Steven Bromley from Cetera Investment Advisers LLCJul 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jonah B. Shafer from Raymond James & Associates, Inc.Feb 23, 2023 · Affiliated broker-dealer or bank to independent RIA
- Ryan Michael Walker from Fisher InvestmentsAug 12, 2021 · RIA to a newly registered adviser
- Carolanne M Chavanne from DynamicAug 9, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Carolanne Chavanne · Managing Member & Chief Compliance Officercontrolsince 04/2019 · 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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 4 | 1 | 0 | ||
| Frisco, Tx | 3 | 0 | 0 | ||
| Long Beach, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Frisco, TX1 employees
- Long Beach, CA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 23, 2026 to Apr 14, 2026
- Employees · 6 to 7Mar 23, 2026 to Apr 14, 2026
- State-registered IARs · 3 to 4Mar 23, 2026 to Apr 14, 2026
- Accounts · 583 to 621Sep 22, 2025 to Mar 23, 2026
- Assets in custody · $123M to $269MSep 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $216M to $269MSep 22, 2025 to Mar 23, 2026
- HNW RAUM · $191M to $239MSep 22, 2025 to Mar 23, 2026
- Individual RAUM · $24.4M to $29.2MSep 22, 2025 to Mar 23, 2026
- RAUM · $216M to $269MSep 22, 2025 to Mar 23, 2026
- Advisory employees · 2 to 3May 8, 2025 to Jul 1, 2025
- Employees · 5 to 6May 8, 2025 to Jul 1, 2025
- Financial planning clients · 101-250 to 101-250May 8, 2025 to Jul 1, 2025
- State-registered IARs · 2 to 3May 8, 2025 to Jul 1, 2025
- Accounts · 552 to 583Aug 29, 2024 to Mar 28, 2025
- HNW clients · 73 to 111Aug 29, 2024 to Mar 28, 2025
- Individual clients · 97 to 61Aug 29, 2024 to Mar 28, 2025
- Assets in custody · unset to 123334812.0Aug 29, 2024 to Mar 28, 2025
- Custody of client assets · false to trueAug 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $173M to $216MAug 29, 2024 to Mar 28, 2025
- HNW RAUM · $131M to $191MAug 29, 2024 to Mar 28, 2025
- Individual RAUM · $41.2M to $24.4MAug 29, 2024 to Mar 28, 2025
- RAUM · $173M to $216MAug 29, 2024 to Mar 28, 2025
- Advisory employees · 1 to 2Jun 17, 2024 to Aug 29, 2024
- Employees · 4 to 5Jun 17, 2024 to Aug 29, 2024
- State-registered IARs · 1 to 2Jun 17, 2024 to Aug 29, 2024
- HQ city · LONG BEACH to IRVINEApr 10, 2024 to Jun 17, 2024
- Other offices · 0 to 2Apr 10, 2024 to Jun 17, 2024
- Advisory employees · 2 to 1Mar 26, 2024 to Apr 10, 2024
- Employees · 5 to 4Mar 26, 2024 to Apr 10, 2024
- State-registered IARs · 2 to 1Mar 26, 2024 to Apr 10, 2024
- Accounts · 528 to 552Sep 26, 2023 to Mar 26, 2024
- HNW clients · 72 to 73Sep 26, 2023 to Mar 26, 2024
- Individual clients · 103 to 97Sep 26, 2023 to Mar 26, 2024
- Employees · 4 to 5Sep 26, 2023 to Mar 26, 2024
- Discretionary RAUM · $128M to $173MSep 26, 2023 to Mar 26, 2024
- HNW RAUM · $94.3M to $131MSep 26, 2023 to Mar 26, 2024
- Individual RAUM · $33.9M to $41.2MSep 26, 2023 to Mar 26, 2024
- RAUM · $128M to $173MSep 26, 2023 to Mar 26, 2024
- Accounts · 469 to 528Feb 17, 2023 to Mar 21, 2023
- Advisory employees · 1 to 2Feb 17, 2023 to Mar 21, 2023
Signals
3 dated events
- Jonah B. Shafer left Prosperity Wealth Planning Llc for Mercer Global Advisors Inc. (registered 2025-01-01)Apr 10, 2024 · Advisor changed firm · fact
- Ryan Michael Walker left Prosperity Wealth Planning Llc for Stansberry Asset Management, Llc (registered 2023-01-23)Nov 15, 2022 · Advisor changed firm · fact
- Prosperity Wealth Planning, Llc filed its initial SEC registration (Form ADV)Jun 18, 2021 · 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
- 877-878-7860reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/54316992/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- prosperitywealthplanning.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 877-878-7860reportedpublic record, Form ADV, Aug 25, 2026
- Contact form
- prosperitywealthplanning.com/about-us/contact-usreportedpublished 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
- $67.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026