Prosperity Financial Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, insurance, philanthropic planning, and tax planning.
Prosperity Financial Group reports 612 clients. They include 476 individual clients, 122 high-net-worth individuals, and 13 pension and profit-sharing plans. Of its assets, 100.0% ($503M across 1,360 accounts) are managed with discretion. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 78% | 26% |
| High-net-worth individuals | 20% | 71% |
| Pension and profit-sharing plans | 2% | 2% |
| Charitable organizations | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 476 | $133M | 26.5% | $280K |
| High-net-worth individuals | 122 | $359M | 71.4% | $2.94M |
| Pension and profit-sharing plans | 13 | $10.4M | 2.1% | $803K |
| Charitable organizations | Fewer than 5 | $29.5K | 0.0% | $29.5K |
| Total | 612 | $503M | 100% | — |
- Clients
- 476
- Regulatory AUM
- $133M
- AUM share
- 26.5%
- Avg. per client
- $280K
- Clients
- 122
- Regulatory AUM
- $359M
- AUM share
- 71.4%
- Avg. per client
- $2.94M
- Clients
- 13
- Regulatory AUM
- $10.4M
- AUM share
- 2.1%
- Avg. per client
- $803K
- Clients
- Fewer than 5
- Regulatory AUM
- $29.5K
- AUM share
- 0.0%
- Avg. per client
- $29.5K
Total
- Clients
- 612
- Regulatory AUM
- $503M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Prosperity Financial Group charges 0.70%–2.00% a year for its Asset management. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning and consulting
- Financial planning and consulting are charged at $250 an hour or as a flat fee generally up to $10,000, negotiable; written financial plans carry a minimum fee of $500.
James Hebert owns 50% to 75% of Prosperity Financial Group. The leadership team of Prosperity Financial Group includes President Andrew Agosta. It has 10 employees, 8 of them in advisory roles.
Staff
- 10 employees
- 8 in advisory functions
- 8 state-registered reps
- 5 broker-dealer reps
- 4 insurance agents
- 2 soliciting firms
- Owns 50% to 75% of Prosperity Financial Group, Inc.
James Hebert
Control person · since October 2025
- Owns 25% to 50% of Prosperity Financial Group, Inc.
Andrew Agosta
Control person · since October 2025
Besides its headquarters, Prosperity Financial Group has 2 offices (2 private residences, listed without an address), with 1 listed address in 1 state.
California · 1 listed address
- 2333 San Ramon Valley BLVD., Suite 200, San RamonHQ
Other business names
Prosperity Financial Group has reported 1 other business name to the SEC.
- Cadence Capital Investments
Contact and registration details
- Legal name
- Prosperity Financial Group, Inc.
- Headquarters
- 2333 San Ramon Valley BLVD., Suite 200, San Ramon, CA 94583
- Website
- prosperityfinancialgroup.com
- Phone
- 925-314-8500
- @prosperity-financial-group
- SEC file
- 801-134846
- Founded
- 2010
- Structure
- California corporation
- Fiscal year end
- December
Prosperity Financial Group’s named custodian for separately managed accounts is Charles Schwab ($503M). Prosperity Financial Group has custody of $89.6M for 209 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $503M100%
At year end, Prosperity Financial Group’s separately managed accounts were mostly in funds (61%) and stocks (34%).
What the accounts hold
- Stocks34%
- Exchange-traded equities33%
- Non-exchange-traded equities1%
- Funds61%
- Bonds4%
- U.S. government and agency bonds2%
- State and local bonds2%
- Cash1%
How many clients does Prosperity Financial Group have?
Prosperity Financial Group has 612 clients and manages $503 million for them, as of July 2026. They include 476 individual clients, 122 high-net-worth individuals, and 13 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 July 2026
What services does Prosperity Financial Group offer?
Prosperity Financial Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, insurance, philanthropic planning, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Prosperity Financial Group charge?
Prosperity Financial Group charges 0.70%–2.00% a year for its Asset management. The fee is billed in advance and is negotiable.
Source: PROSPERITY FINANCIAL GROUP, INC. ADV PART 2A DISCLOSURE BROCHURE, filed 10 March 2026
Which custodians does Prosperity Financial Group use?
Prosperity Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $503M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 July 2026
How many financial advisors does Prosperity Financial Group have?
Prosperity Financial Group has 8 investment adviser representatives registered with state securities authorities, out of 10 employees, and 8 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Prosperity Financial Group invest in?
At the end of its last fiscal year, Prosperity Financial Group’s separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 33% exchange-traded equities, 2% U.S. government and agency bonds, 2% state and local bonds, 1% non-exchange-traded equities and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Prosperity Financial Group?
Prosperity Financial Group’s direct owners are James Hebert (50% to 75%) and Andrew Agosta (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 27 July 2026
How does Prosperity Financial Group get paid?
Prosperity Financial Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Prosperity Financial Group?
Prosperity Financial Group’s main office is at 2333 San Ramon Valley BLVD., Suite 200, San Ramon, CA 94583. Its phone number is 925-314-8500. Its website is prosperityfinancialgroup.com.