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PROSPERA FINANCIAL SERVICES, INC.
CRD 10740File 801-65845
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$14.39B
Top 10% of cohort (national)
Discretionary AUM
$9.79B
Non-discretionary $4.60B
Clients
18,584
31,454 accounts
Employees
326
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
- $14.39B
- Discretionary AUM
- $9.79B
- Non-discretionary AUM
- $4.60B
- Discretionary accounts
- 22,149
- Non-discretionary accounts
- 9,305
- Total accounts
- 31,454
- AUM per client
- $774K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 188 | $562.1M |
| Charitable organizations | 126 | $184.5M |
| High net worth individuals | 7,796 | $8.49B |
| Pooled investment vehicles | 3 | $38.5M |
| Pension and profit sharing plans | 389 | $1.41B |
| Individuals (other than high net worth individuals) | 10,082 | $3.70B |
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 | Change |
|---|---|---|---|---|
| Oct 1, 2026 | Employees | 333 | 326 | decreased by7 |
| Oct 1, 2026 | Clients | 19,100 | 18,584 | decreased by516 |
| Oct 1, 2026 | AUM | $12,435,115,072 | $14,387,540,045 | increased by$1,952,424,973 |
| Oct 1, 2026 | Accounts | 29,500 | 31,454 | increased by1,954 |
| Aug 17, 2026 | Clients | 19,103 | 19,100 | decreased by3 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 265 | 333 | increased by68 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 15,632 | 19,103 | increased by3,471 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $9,811,417,970 | $12,435,115,072 | increased by$2,623,697,102 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 23,433 | 29,500 | increased by6,067 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 242 | 265 | increased by23 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 12,584 | 15,632 | increased by3,048 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $5,921,456,412 | $9,811,417,970 | increased by$3,889,961,558 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 18,852 | 23,433 | increased by4,581 |
| Oct 1, 2022 | Employees | 217 | 242 | increased by25 |
| Oct 1, 2022 | Clients | 11,007 | 12,584 | increased by1,577 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROSPERA FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROSPERA FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
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.