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 Financial Group, Inc.
Latest filing Jul 27, 2026
First filing on the tape Nov 20, 2025 · 3 filings
SEC status approved since Dec 1, 2025
RAUM
$503M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$492M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$62.9M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$503M as of Jul 27, 2026
Nov 20, 2025$359M then
HNW client RAUM$359M as of Jul 27, 2026
Nov 20, 2025$193M then
State-registered IARs (5.B.3)8 as of Jul 27, 2026
Nov 20, 20259 then
Employees (5.A)10 as of Jul 27, 2026
Nov 20, 202511 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 27, 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
- $62.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $369,820derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $89.6M, 209 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$359M71%
- Individuals$133M26%
- Pension and profit-sharing plans$10.4M2.1%
- Charitable organizations$29,5160.0%
- Individual clients
- 476reported
- HNW clients
- 122reported
- Pension plan clients
- 13reported
- Charitable clients
- 1reported
- Accounts
- 1,360reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $89.6M for 209 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew Joseph AgostaCertified Financial Planner | San Ramon, Ca | Dec 1, 2025 | 16 y | 3 |
| Martin Alexander Troiani | San Ramon, Ca | Dec 4, 2025 | 16 y | 5 |
| Emmett Charles PeckCertified Financial Planner | San Ramon, Ca | Dec 4, 2025 | 28 y | 4 |
| Cesar Bagamasbad Dantes | San Ramon, Ca | Dec 8, 2025 | 37 y | 5 |
| James Derek Hebert | San Ramon, Ca | Dec 12, 2025 | 10 y | 3 |
| Jamie Granville Hargrave | San Ramon, Ca | Dec 15, 2025 | 28 y | 5 |
| Ankit Sahu | San Ramon, Ca | Jan 1, 2026 | 23 y | 8 |
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
none on the tape
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from Prosperity Financial Group, Inc.Dec 24, 2025 · San Ramon, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Andrew Agosta · Chief Compliance Officer, Chief Operating Officer, Vice Presidentcontrolsince 10/2025 · owns 25% to 50%
- Derek James Hebert · Presidentcontrolsince 10/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Ramon, Ca · principal | 8 | 8 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 10, 2026 to Jul 27, 2026
- Accounts · 1,202 to 1,360Nov 20, 2025 to Mar 10, 2026
- Advisory employees · 9 to 8Nov 20, 2025 to Mar 10, 2026
- BD registered reps · 4 to 5Nov 20, 2025 to Mar 10, 2026
- HNW clients · 545 to 122Nov 20, 2025 to Mar 10, 2026
- Individual clients · 102 to 476Nov 20, 2025 to Mar 10, 2026
- Pension plan clients · 8 to 13Nov 20, 2025 to Mar 10, 2026
- Assets in custody · $82.0M to $89.6MNov 20, 2025 to Mar 10, 2026
- Employees · 11 to 10Nov 20, 2025 to Mar 10, 2026
- State-registered IARs · 9 to 8Nov 20, 2025 to Mar 10, 2026
- Discretionary RAUM · $359M to $503MNov 20, 2025 to Mar 10, 2026
- HNW RAUM · $193M to $359MNov 20, 2025 to Mar 10, 2026
- Individual RAUM · $164M to $133MNov 20, 2025 to Mar 10, 2026
- Pension RAUM · $1.6M to $10.4MNov 20, 2025 to Mar 10, 2026
- RAUM · $359M to $503MNov 20, 2025 to Mar 10, 2026
- Related adviser · true to falseNov 20, 2025 to Mar 10, 2026
- Related broker-dealer · true to falseNov 20, 2025 to Mar 10, 2026
Signals
2 dated events
- Prosperity Financial Group, Inc. reported RAUM $503.0M, up 40% from $358.9M (2025-11-20 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- Prosperity Financial Group, Inc.'s advisors moved to Prosperity Financial Group, Inc. (San Ramon, CA): 7 of 8 registered, on the same dayDec 24, 2025 · Firm absorbed (people side) · derived
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@prosperityfg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-314-8500reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/prosperity-financial-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PROSPERITYFG.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 925-314-8500reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- prosperityfinancialgroup.com/contactreportedpublished 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
- $62.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026