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PROSPERA FINANCIAL SERVICES, INC.
CRD 10740File 801-65845
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2025
Feed vintage Aug 17, 2026
Regulatory AUM
$12.44B
Top 10% of cohort (national)
Discretionary AUM
$8.37B
Non-discretionary $4.06B
Clients
19,100
29,500 accounts
Employees
333
Top 10% of cohort in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Feb 1, 2006
- Principal office
- 5429 LBJ FREEWAY, SUITE 750, DALLAS, TX, 75240
- Phone
- 972-581-3000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $12.44B
- Discretionary AUM
- $8.37B
- Non-discretionary AUM
- $4.06B
- Discretionary accounts
- 20,134
- Non-discretionary accounts
- 9,366
- Total accounts
- 29,500
- AUM per client
- $651K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 103 | $249.0M |
| Charitable organizations | 61 | $60.5M |
| High net worth individuals | 6,195 | $5.69B |
| Pooled investment vehicles | 2 | $30.8M |
| Pension and profit sharing plans | 228 | $1.09B |
| Individuals (other than high net worth individuals) | 12,511 | $5.03B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Commissions
- Hourly charges
- Other (described) — PERCENTAGE OF ASSETS UNDER REVIEW
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11A2
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11E1
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | 19103 | 19100 |
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.