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
Prosperitas Financial, LLC
Latest filing Sep 9, 2026
First filing on the tape Jul 30, 2021 · 23 filings
SEC status approved since Aug 30, 2021
RAUM
$812M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
86%
$695M individuals and HNW
Advisors
39
registered through the firm on IAPD
RAUM per advisor
$20.8M
derived; firm RAUM over IAPD count
Employees
33
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$812M as of Mar 17, 2026
Jan 26, 2022$114M then
HNW client RAUM$336M as of Mar 17, 2026
Jan 26, 2022$56.5M then
State-registered IARs (5.B.3)23 as of Mar 17, 2026
Jan 26, 20225 then
Employees (5.A)33 as of Mar 17, 2026
Jan 26, 20228 then
Private funds: no history
RAUM +33% over the last fiscal year+54% a year over threeIARs 16 to 23
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $20.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $166,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 19.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +44%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $168M, 1,032 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$359M44%
- High-net-worth individuals$336M41%
- Pension and profit-sharing plans$98.1M12%
- Investment companies$17.0M2.1%
- Pooled investment vehicles$2.0M0.2%
- Individual clients
- 1,595reported
- HNW clients
- 150reported
- Pension plan clients
- 219reported
- Charitable clients
- n/areported
- Accounts
- 4,890reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $168M for 1,032 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.02 institutional_share=0.12 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
39 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kieran Thomas Wong | Eagle, Id | Aug 30, 2021 | 15 y | 1 |
| Frederic Matthew Wachtel | Valencia, Ca | Aug 30, 2021 | 21 y | 5 |
| Christopher Matthew Ingram | Valencia, Ca | Aug 31, 2021 | 27 y | 4 |
| Mark Thomas Petersen | Valencia, Ca | Aug 31, 2021 | 21 y | 1 |
| Jerry Robert Citarella | Valencia, Ca | Aug 31, 2021 | 31 y | 3 |
| Rian Geoffrey Denich | Valencia, Ca | Nov 22, 2021 | 12 y | 0 |
| Jennifer Caryn Brown | Northridge, Ca | Sep 15, 2022 | 21 y | 6 |
| Jeremy Michael LeibowitzCertified Financial Planner | West Hills, Ca | Feb 1, 2023 | 13 y | 2 |
| Jeffrey Eisenberg | Valencia, Ca | Feb 7, 2023 | 22 y | 0 |
| Andrew Cohen | Valencia, Ca | Jun 9, 2023 | 15 y | 0 |
| Robert John Clark | Valencia, Ca | Jun 26, 2023 | 13 y | 0 |
| Dulce Melody Vazquez | Valencia, Ca | Jul 11, 2023 | 21 y | 0 |
| Heather Mary Brockhurst | Valencia, Ca | Sep 6, 2023 | 12 y | 5 |
| Rudy Henry Herrera | Valencia, Ca | Sep 11, 2023 | 11 y | 0 |
| Eric Abrahamian | Valencia, Ca | Apr 19, 2024 | 12 y | 0 |
| Byron Patricio Alvarado | Valencia, Ca | Aug 6, 2024 | 21 y | 4 |
| Howard Martinez | Valencia, Ca | Aug 6, 2024 | 20 y | 4 |
| Kaisee Pelino | Valencia, Ca | Oct 15, 2024 | 21 y | 0 |
| Roslyn Clark | Valencia, Ca | Nov 5, 2024 | 15 y | 0 |
| Gary Norman ClarkChartered Financial Analyst | Altadena, Ca | Dec 16, 2024 | 37 y | 1 |
| Mceathren Herrera | Valencia, Ca | Jan 1, 2025 | 14 y | 0 |
| Maryam Lisa Odom | Valencia, Ca | Feb 21, 2025 | 10 y | 0 |
| Katherine Cooper | Valencia, Ca | Feb 21, 2025 | 11 y | 0 |
| Racquel Wilder | Valencia, Ca | Apr 3, 2025 | 11 y | 0 |
| Erica Guadalupe ZaragozaCertified Financial Planner | Irvine, Ca | May 12, 2025 | 10 y | 1 |
| Donald Evan Blauner | Valencia, Ca | May 29, 2025 | 42 y | 1 |
| Ralph Donald Dexter | Irvine, Ca | Jul 2, 2025 | 43 y | 5 |
| Ryan Mittelman | Valencia, Ca | Aug 28, 2025 | 11 y | 0 |
| Ryder Bendrat | Valencia, Ca | Aug 28, 2025 | 11 y | 0 |
| Jason Miller | Valencia, Ca | Sep 9, 2025 | 11 y | 0 |
| Shea Jordan Weiner | Valencia, Ca | Sep 25, 2025 | 11 y | 0 |
| Grant Moulton | Valencia, Ca | Oct 1, 2025 | 13 y | 4 |
| Antonio Defrank | Valencia, Ca | Oct 3, 2025 | 10 y | 0 |
| Ethan Kameron Alvarez | Valencia, Ca | Oct 22, 2025 | 11 y | 0 |
| Frederick Kenneth Arnold | Stevenson Ranch, Ca | Nov 12, 2025 | 17 y | 0 |
| Christopher James Stamos | Anaheim, Ca | Jan 1, 2026 | 22 y | 0 |
| Sean Keegan Edward Denich | Valencia, Ca | Feb 4, 2026 | 10 y | 0 |
| Mark Stephen Gustafson | Valencia, Ca | Apr 9, 2026 | 10 y | 1 |
| Michael Anthony WaltersCertified Financial Planner | Selma, Tx | Jul 29, 2026 | 17 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Jessica Alane Saunders to Cambridge Investment Research Advisors, Inc.Nov 20, 2024 · RIA to affiliated broker-dealer or bank
- Jordan David Hubbs to Ep Wealth AdvisorsJun 15, 2023 · RIA to RIA
Joined, latest
- Michael Anthony Walters from Swbc Investment CompanyJul 29, 2026 · RIA to RIA
- Mark Stephen Gustafson from Park Avenue Securities LLCApr 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Grant Moulton from Raymond James Financial Services Advisors, IncOct 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Ralph Donald Dexter from Centaurus Financial, Inc.Jul 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- Donald Evan Blauner from Crown Capital Securities, L.P.May 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- Erica Guadalupe Zaragoza from Gwn Securities Inc.May 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gary Norman Clark from Clark Asset Management + Associates, Inc.Dec 16, 2024 · Other
- Byron Patricio Alvarado from Cetera Advisors LLCAug 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- Howard Martinez from LPL Financial LLCAug 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- Heather Mary Brockhurst from MML Investors Services, LLCSep 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- Jessica Alane Saunders from Noblebridge WealthAug 29, 2023 · RIA to RIA
- Jeremy Michael Leibowitz from Gwn Securities Inc.Feb 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Jennifer Caryn Brown from Brown Investment ManagementSep 15, 2022 · Other
- Jerry Robert Citarella from Next Financial Group, Inc.Aug 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- Christopher Matthew Ingram from Next Financial Group, Inc.Aug 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Next Financial Group, Inc.Apr 25, 2022 · Valencia, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Robert Clark · Officercontrolsince 07/2021 · owns 25% to 50%
- Matthew Christopher Ingram · Ceocontrolsince 07/2021 · owns 25% to 50%
- Thomas Mark Petersen · Chief Compliance Officer & Coocontrolsince 07/2021 · owns 25% to 50%
- Scott Zimmerman · Officercontrolsince 07/2021 · 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 |
|---|---|---|---|---|---|
| Valencia, Ca · principal | 36 | 6 | 0 | ||
| Stevenson Ranch, Ca | 3 | 1 | 0 | ||
| Irvine, Ca | 2 | 0 | 0 | ||
| Las Vegas, Nv | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Woodland Hills, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 17, 2026employees (Item 5.A) moved from 19.0 to 33.0 (+74.0%) between the annual amendments of 2025-03-27 and 2026-03-17; the peer median change was 0.0% (596 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (596) · 99% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 17, 2026 to Sep 9, 2026
- Succession · false to unsetMar 17, 2026 to Sep 9, 2026
- Accounts · 3,933 to 4,890Jun 2, 2025 to Mar 17, 2026
- Advisory employees · 16 to 23Jun 2, 2025 to Mar 17, 2026
- BD registered reps · 1 to 0Jun 2, 2025 to Mar 17, 2026
- HNW clients · 121 to 150Jun 2, 2025 to Mar 17, 2026
- Individual clients · 1,366 to 1,595Jun 2, 2025 to Mar 17, 2026
- Pension plan clients · 148 to 219Jun 2, 2025 to Mar 17, 2026
- Pooled vehicle clients · unset to 2.0Jun 2, 2025 to Mar 17, 2026
- Assets in custody · $68.1M to $168MJun 2, 2025 to Mar 17, 2026
- Employees · 19 to 33Jun 2, 2025 to Mar 17, 2026
- Financial planning clients · 1-10 to 0Jun 2, 2025 to Mar 17, 2026
- State-registered IARs · 16 to 23Jun 2, 2025 to Mar 17, 2026
- Discretionary RAUM · $571M to $695MJun 2, 2025 to Mar 17, 2026
- HNW RAUM · $265M to $336MJun 2, 2025 to Mar 17, 2026
- Individual RAUM · $306M to $359MJun 2, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $42.1M to $117MJun 2, 2025 to Mar 17, 2026
- Pension RAUM · $41.5M to $98.1MJun 2, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · unset to 2026004.0Jun 2, 2025 to Mar 17, 2026
- RAUM · $613M to $812MJun 2, 2025 to Mar 17, 2026
- Financial planning clients · 1-10 to 1-10Mar 27, 2025 to Jun 2, 2025
- Accounts · 1,655 to 3,933Oct 25, 2024 to Mar 27, 2025
- Advisory employees · 13 to 16Oct 25, 2024 to Mar 27, 2025
- HNW clients · 133 to 121Oct 25, 2024 to Mar 27, 2025
- Individual clients · 1,056 to 1,366Oct 25, 2024 to Mar 27, 2025
- Pension plan clients · unset to 148.0Oct 25, 2024 to Mar 27, 2025
- Assets in custody · unset to 68070383.0Oct 25, 2024 to Mar 27, 2025
- Custody of client assets · false to trueOct 25, 2024 to Mar 27, 2025
- Employees · 15 to 19Oct 25, 2024 to Mar 27, 2025
- Insurance-licensed employees · 1 to 0Oct 25, 2024 to Mar 27, 2025
- State-registered IARs · 13 to 16Oct 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $390M to $571MOct 25, 2024 to Mar 27, 2025
- HNW RAUM · $212M to $265MOct 25, 2024 to Mar 27, 2025
- Individual RAUM · $180M to $306MOct 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.5M to $42.1MOct 25, 2024 to Mar 27, 2025
- Pension RAUM · unset to 41502076.0Oct 25, 2024 to Mar 27, 2025
- RAUM · $392M to $613MOct 25, 2024 to Mar 27, 2025
- Related adviser · true to falseOct 25, 2024 to Mar 27, 2025
- Accounts · 1,587 to 1,655Mar 9, 2023 to Mar 15, 2024
- Advisory employees · 9 to 13Mar 9, 2023 to Mar 15, 2024
Signals
8 dated events
- Prosperitas Financial, Llc reported RAUM $812.5M, up 33% from $612.7M (2025-06-02 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- Prosperitas Financial, Llc reported RAUM $612.7M, up 56% from $391.8M (2024-10-25 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Jessica Alane Saunders left Prosperitas Financial, Llc for Cambridge Investment Research Advisors, Inc. (registered 2026-01-05)Nov 20, 2024 · Advisor changed firm · fact
- Prosperitas Financial, Llc reported RAUM $391.8M, up 77% from $221.8M (2023-03-09 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- Jordan David Hubbs left Prosperitas Financial, Llc for Ep Wealth Advisors (registered 2025-11-26)Jun 15, 2023 · Advisor changed firm · fact
- Prosperitas Financial, Llc reported RAUM $221.8M, up 94% from $114.4M (2023-01-25 to 2023-03-09)Mar 9, 2023 · RAUM change · derived
- 4 advisors left Next Financial Group, Inc. (Valencia, CA) for Prosperitas Financial, LLC on the same dayApr 25, 2022 · Team lift-out · derived
- Prosperitas Financial, Llc filed its initial SEC registration (Form ADV)Jul 30, 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
- Firm profile
- linkedin.com/company/prosperitasfinreportedpublic record, Form ADV, Sep 18, 2026
- Website
- prosperitasfin.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 661-255-9555reportedpublic record, Form ADV, Sep 9, 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
- $20.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026