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PROSPERITY ROAD, LLC
CRD 281894File 801-118900
APPROVED
Retail clients
Filing as of Mar 10, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$172.3M
Bottom 25% of cohort (national)
Discretionary AUM
$169.0M
Non-discretionary $3.3M
Clients
69
181 accounts
Employees
3
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jun 12, 2020
- Principal office
- 12341 NEWPORT AVENUE, STE. A-100, SANTA ANA, CA, 92705
- Phone
- (714) 241-0212
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $172.3M
- Discretionary AUM
- $169.0M
- Non-discretionary AUM
- $3.3M
- Discretionary accounts
- 180
- Non-discretionary accounts
- 1
- Total accounts
- 181
- AUM per client
- $2.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $42.0M |
| Charitable organizations | Fewer than 5 | $629K |
| High net worth individuals | 25 | $109.6M |
| Pension and profit sharing plans | Fewer than 5 | $3.3M |
| Individuals (other than high net worth individuals) | 39 | $16.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- 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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 4 | 3 | decreased by1 |
| Apr 1, 2026 | Clients | 65 | 69 | increased by4 |
| Apr 1, 2026 | AUM | $156,902,175 | $172,311,682 | increased by$15,409,507 |
| Apr 1, 2026 | Accounts | 167 | 181 | increased by14 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3 | 4 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 53 | 65 | increased by12 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $150,302,053 | $156,902,175 | increased by$6,600,122 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 136 | 167 | increased by31 |
| Apr 1, 2022 | Clients | 44 | 53 | increased by9 |
| Apr 1, 2022 | AUM | $120,826,853 | $150,302,053 | increased by$29,475,200 |
| Apr 1, 2022 | Accounts | 126 | 136 | increased by10 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROSPERITY ROAD” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROSPERITY ROAD” 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.