{"url":"https://nivawealth.com/firms/prosperity-financial-group-339321","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/339321","regulatoryAum":502955078,"crd":"339321","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5013957","suffix":null,"lastName":"AGOSTA","firstName":"ANDREW","middleName":"JOSEPH"},{"crd":"1470508","suffix":null,"lastName":"DANTES","firstName":"CESAR","middleName":"BAGAMASBAD"},{"crd":"3006122","suffix":null,"lastName":"HARGRAVE","firstName":"JAMIE","middleName":"GRANVILLE"},{"crd":"6469554","suffix":null,"lastName":"HEBERT","firstName":"JAMES","middleName":"DEREK"},{"crd":"2384508","suffix":null,"lastName":"KALLEN","firstName":"ELLIOT","middleName":"HERBERT"},{"crd":"3052579","suffix":"JR","lastName":"PECK","firstName":"EMMETT","middleName":"CHARLES"},{"crd":"4606785","suffix":null,"lastName":"SAHU","firstName":"ANKIT","middleName":null},{"crd":"5780268","suffix":null,"lastName":"TROIANI","firstName":"MARTIN","middleName":"ALEXANDER"}],"total":8,"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"},"secFileNumber":"801-134846","legalName":"Prosperity Financial Group, Inc.","displayName":"Prosperity Financial Group","slug":"prosperity-financial-group-339321","website":"https://prosperityfinancialgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/prosperity-financial-group/","founded":"2010","organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"2333 San Ramon Valley BLVD., Suite 200","city":"San Ramon","state":"CA","stateName":"California","country":"United States","postalCode":"94583"},"tradeNames":["Cadence Capital Investments"],"registration":{"secApproved":"1 December 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":823564.0819397994,"staff":{"employees":10,"advisory":8,"brokerDealerReps":5,"insuranceAgents":4,"promoters":2},"aum":{"regulatory":502955078,"discretionary":502955078,"discretionaryAccounts":1360,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":476,"regulatoryAum":133218600},{"label":"High-net-worth individuals","clients":122,"regulatoryAum":359272721},{"label":"Pension and profit-sharing plans","clients":13,"regulatoryAum":10434241},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":29516}],"feePrograms":[{"role":"main","program":"Asset management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016508","versionId":1016508,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-10","documentName":"PROSPERITY FINANCIAL GROUP, INC. 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ADV PART 2A DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016508","versionId":1016508,"submittedOn":"2026-03-10"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":502955078}],"custodyNote":"Prosperity Financial Group has custody of $89.6M for 209 clients.","otherCustodians":[],"leadership":[{"name":"Andrew Agosta","title":"Chief Compliance Officer, Chief Operating Officer, Vice President","crd":"5013957"},{"name":"James Hebert","title":"President","crd":"6469554"}],"ownership":[{"label":"James Hebert","detail":"President in the 50% to 75% ownership band and a control person, since October 2025."},{"label":"Andrew Agosta","detail":"Chief compliance officer, chief operating officer, vice president in the 25% to 50% ownership band and a control person, since October 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"2333 San Ramon Valley BLVD., Suite 200","city":"San Ramon","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"925-314-8500","stateRegisteredReps":8,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":61},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"27 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/339321/PDF/339321.pdf","brochureDate":"10 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016508","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 Prosperity Financial Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prosperity Financial Group offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Prosperity Financial Group charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Prosperity Financial Group use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prosperity Financial Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Prosperity Financial Group invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Prosperity Financial Group?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prosperity Financial Group get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Prosperity Financial Group?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 27 July 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."}