{"url":"https://nivawealth.com/firms/prosper-private-wealth-333708","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/333708","regulatoryAum":150821334,"crd":"333708","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4495410","suffix":null,"lastName":"GARDNER","firstName":"JOSHUA","middleName":"ADAM"},{"crd":"1981961","suffix":null,"lastName":"SPENCER","firstName":"LANCE","middleName":"T"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-04","regulatoryAum":112686573,"clients":50,"employees":3,"offices":2},{"filedOn":"2026-09-02","regulatoryAum":150821334,"clients":51,"employees":3,"offices":1}],"secFileNumber":"801-132061","legalName":"Prosper Private Wealth, LLC","displayName":"Prosper Private Wealth","slug":"prosper-private-wealth-333708","website":"https://prosperpw.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4140 E Baseline Road, Suite 101","city":"Mesa","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85206"},"tradeNames":[],"registration":{"secApproved":"5 March 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2957281.0588235296,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":150821334,"discretionary":150821334,"discretionaryAccounts":264,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":19,"regulatoryAum":13330596},{"label":"High-net-worth individuals","clients":32,"regulatoryAum":137490738}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"Financial planning is billed hourly under a negotiated fee arrangement, with a maximum hourly fee of $450.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056885","versionId":1056885,"submittedOn":"2026-09-02","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:54:04.936804+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056885","versionId":1056885,"submittedOn":"2026-09-02"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":150720848}],"custodyNote":"Prosper Private Wealth does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Joshua Gardner","title":"CEO & CCO","crd":"4495410"}],"ownership":[{"label":"Joshua Gardner","detail":"Ceo & cco in the 75% or more ownership band and a control person, since August 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"4140 E Baseline Road, Suite 101","city":"Mesa","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"888-404-3042","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":58},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":22},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"2 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/333708/PDF/333708.pdf","brochureDate":"2 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056885","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Prosper Private Wealth have?","answer":"Prosper Private Wealth has 51 clients and manages $151 million for them, as of September 2026. They include 32 high-net-worth individuals and 19 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prosper Private Wealth offer?","answer":"Prosper Private Wealth provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Prosper Private Wealth use?","answer":"Prosper Private Wealth’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $151M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prosper Private Wealth have?","answer":"Prosper Private Wealth has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Prosper Private Wealth invest in?","answer":"At the end of its last fiscal year, Prosper Private Wealth’s separately managed accounts held 58% registered funds (mutual funds, ETFs, BDCs), 22% pooled vehicles (private funds and similar), 17% exchange-traded equities, 2% non-exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Prosper Private Wealth?","answer":"Prosper Private Wealth’s direct owner is Joshua Gardner (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prosper Private Wealth get paid?","answer":"Prosper Private Wealth is paid through a percentage of assets under management, hourly charges and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Prosper Private Wealth?","answer":"Prosper Private Wealth’s main office is at 4140 E Baseline Road, Suite 101, Mesa, AZ 85206. Its phone number is 888-404-3042. Its website is prosperpw.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}