Prosperity Road, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$126,338,988
Clients
64
Advisors
1
of 3 employees
About
Prosperity Road provides wealth management, financial planning, retirement-plan advisory and portfolio management services to individuals, high-net-worth individuals, trusts, estates, retirement plans, charitable organizations and corporations. The firm manages roughly $172 million across about 64 client relationships and is compensated primarily via percentage-of-assets-under-management fees for both discretionary and non-discretionary accounts.
The firm generally follows a long-term, fundamental-analysis approach and constructs portfolios largely with no-load mutual funds and institutional strategies, often using Dimensional mutual funds, ETFs, individual equities and fixed income as appropriate. Prosperity Road may recommend or use unaffiliated independent managers and an investment platform (FPAS) and conducts regular account monitoring and portfolio rebalancing in line with client goals, risk tolerance and periodic reviews.
Prosperity Road discloses affiliations that are atypical for firms of its size: the principal also serves in a managerial role at an accounting firm and the principal maintains an active attorney license (while the advisory practice does not provide legal services), and the brochure states clients are not required to use the affiliated accounting services. The firm also documents institutional relationships with Schwab and Fidelity that provide platform and operational support, a sub-advisory/platform arrangement with FPAS, and a written business continuity and succession agreement with a successor advisor.
Client services
Expertise
Fee options
Fixed fees for financial planning based on estimated hours at negotiated hourly rate
$0 - $999,999: 1.25% $1,000,000 - $1,999,999: 1.00% $2,000,000 - $2,999,999: 0.90% $3,000,000 - $4,999,999: 0.80% $5,000,000 - $7,499,999: 0.70% $7,500,000 - $9,999,999: 0.60% $10,000,000 - $14,999,999: 0.50% $15,000,000 - $19,999,999: 0.45% $20,000,000 - $24,999,999: 0.40% $25,000,000 - $49,999,999: 0.35% $50,000,000+: 0.30%
$350 to $450 per hour for financial planning services
Account minimum: $500,000 Minimum fee: $4,500 annual minimum fee, waivable at sole discretion of Advisor Fee-only: Financial planning fees: hourly $350 to $450; fixed fees negotiable based on scope
Main office
12341 Newport Avenue, Ste. A 100
Santa Ana CA 92705
Advisors at this office
1
Most active in
California · Georgia
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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