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

Prosper Private Wealth

Independent wealth managerMesa, ArizonaCRD 333708SEC 801-132061websiteIAPD
Legal name Prosper Private Wealth, LLC
Latest filing Sep 2, 2026
First filing on the tape Mar 4, 2025 · 5 filings
SEC status approved since Mar 5, 2025
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$151M as of May 12, 2026
Mar 4, 2025$113M then
HNW client RAUM$137M as of May 12, 2026
Mar 4, 2025$101M then
State-registered IARs (5.B.3)3 as of May 12, 2026
Mar 4, 20253 then
Employees (5.A)3 as of May 12, 2026
Mar 4, 20253 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$75.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$571,293derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assets, hourly, performance-basedreportedItem 5.E
Advisory activities
financial planning, 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
  • High-net-worth individuals$137M91%
  • Individuals$13.3M8.8%
Individual clients
19reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
264reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, performancereported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joshua Adam GardnerCertified Financial PlannerMesa, AzDec 2, 202424 y4
Lance T SpencerCertified Financial PlannerProvo, Ut Dec 9, 202537 y6
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Adam Joshua Gardner · Ceo & Ccocontrol
      since 08/2024 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Mesa, Az · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 0 to 0
      May 12, 2026 to Sep 2, 2026
    • Succession · false to unset
      May 12, 2026 to Sep 2, 2026
    • Accounts · 167 to 264
      Jan 20, 2026 to Mar 27, 2026
    • Advisory employees · 3 to 2
      Jan 20, 2026 to Mar 27, 2026
    • Charity clients · unset to 0.0
      Jan 20, 2026 to Mar 27, 2026
    • Corporate clients · unset to 0.0
      Jan 20, 2026 to Mar 27, 2026
    • HNW clients · 21 to 32
      Jan 20, 2026 to Mar 27, 2026
    • Individual clients · 29 to 19
      Jan 20, 2026 to Mar 27, 2026
    • Pension plan clients · unset to 0.0
      Jan 20, 2026 to Mar 27, 2026
    • Pooled vehicle clients · unset to 0.0
      Jan 20, 2026 to Mar 27, 2026
    • Other offices · 1 to 0
      Jan 20, 2026 to Mar 27, 2026
    • Discretionary RAUM · $113M to $151M
      Jan 20, 2026 to Mar 27, 2026
    • HNW RAUM · $101M to $137M
      Jan 20, 2026 to Mar 27, 2026
    • Individual RAUM · $11.3M to $13.3M
      Jan 20, 2026 to Mar 27, 2026
    • Pension RAUM · unset to 0.0
      Jan 20, 2026 to Mar 27, 2026
    • Pooled vehicle RAUM · unset to 0.0
      Jan 20, 2026 to Mar 27, 2026
    • RAUM · $113M to $151M
      Jan 20, 2026 to Mar 27, 2026
    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
    888-404-3042reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    prosperpw.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    888-404-3042reportedpublic record, Form ADV, Sep 2, 2026
    Team page
    prosperpw.com/teamreportedpublished 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
    $75.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026