Prosperitas Financial, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 315768
· SEC file 801-122207
· Valencia, CA
· www.youtube.com
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ADV data as of Mar 17, 2026
- Regulatory AUM
- $812M
- Discretionary
- $695M
- Clients
- 2,138
- Avg AUM / client
- $380K
- Accounts
- 4,890
- Employees
- 33
AUM over time
$0
$812M
Jul 2021
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,595 | $359M | 44.2% |
| High net worth individuals | 150 | $336M | 41.4% |
| Investment companies | 172 | $17.0M | 2.09% |
| Pooled investment vehicles (non-investment companies) | 2 | $2.0M | 0.25% |
| Pension and profit sharing plans | 219 | $98.1M | 12.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| International Aerospace Coatings, Inc. 401(k) Plan International Aerospace Coatings, Inc. | 2024 | |
| Unio Health Partners, Llc Employees' 401(k) Profit Sharing Plan Unio Health Partners, Llc | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 |
People (39)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher Matthew Ingram | Ceo | Jul 2021 (5y) | 25% – 50% | |
| Mark Thomas Petersen | Chief Compliance Officer & Coo | Jul 2021 (5y) | 25% – 50% | |
| Robert John Clark | Officer | Jul 2021 (5y) | 25% – 50% | |
| Zimmerman, Scott | Officer | Jul 2021 (5y) | 25% – 50% | |
| Frederic Matthew Wachtel | Registered representative | Aug 2021 (5y) | ||
| Kieran Thomas Wong | Registered representative | Aug 2021 (5y) | ||
| Jerry Robert Citarella | Registered representative | Aug 2021 (5y) | ||
| Rian Geoffrey Denich | Registered representative | Nov 2021 (5y) | ||
| Jennifer Caryn Brown | Registered representative | Sep 2022 (4y) | ||
| Jeremy Michael Leibowitz | Registered representative | CFP | Feb 2023 (4y) | |
| Jeffrey Eisenberg | Registered representative | Feb 2023 (3y) | ||
| Andrew Cohen | Registered representative | Jun 2023 (3y) | ||
| Dulce Melody Vazquez | Registered representative | Jul 2023 (3y) | ||
| Heather Mary Brockhurst | Registered representative | Sep 2023 (3y) | ||
| Rudy Henry Herrera | Registered representative | Sep 2023 (3y) | ||
| Eric Abrahamian | Registered representative | Apr 2024 (2y) | ||
| Byron Patricio Alvarado | Registered representative | Aug 2024 (2y) | ||
| Howard Martinez | Registered representative | Aug 2024 (2y) | ||
| Kaisee Pelino | Registered representative | Oct 2024 (2y) | ||
| Roslyn Clark | Registered representative | Nov 2024 (2y) | ||
| Gary Norman Clark | Registered representative | CFA | Dec 2024 (2y) | |
| Mc Eathren Herrera | Registered representative | Jan 2025 (2y) | ||
| Katherine Cooper | Registered representative | Feb 2025 (1y) | ||
| Maryam Lisa Odom | Registered representative | Feb 2025 (1y) | ||
| Racquel Wilder | Registered representative | Apr 2025 (1y) | ||
| Erica Guadalupe Zaragoza | Registered representative | CFP | May 2025 (1y) | |
| Donald Evan Blauner | Registered representative | May 2025 (1y) | ||
| Ralph Donald Dexter | Registered representative | Jul 2025 (1y) | ||
| Ryan Mittelman | Registered representative | Aug 2025 (1y) | ||
| Ryder Bendrat | Registered representative | Aug 2025 (1y) | ||
| Jason Miller | Registered representative | Sep 2025 (1y) | ||
| Shea Jordan Weiner | Registered representative | Sep 2025 (1y) | ||
| Grant Moulton | Registered representative | Oct 2025 (1y) | ||
| Antonio De Frank | Registered representative | Oct 2025 (1y) | ||
| Ethan Kameron Alvarez | Registered representative | Oct 2025 (1y) | ||
| Frederick Kenneth Arnold | Registered representative | Nov 2025 (1y) | ||
| Christopher James Stamos | Registered representative | Jan 2026 (1y) | ||
| Sean Keegan Edward Denich | Registered representative | Feb 2026 (0y) | ||
| Mark Stephen Gustafson | Registered representative | Apr 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| International Aerospace Coatings, Inc. 401(k) Plan | International Aerospace Coatings, Inc. | 532 | $3.1M | 01/01/2024 |
| Unio Health Partners, Llc Employees' 401(k) Profit Sharing Plan | Unio Health Partners, Llc | 696 | $59.0M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/17/2026 | 956 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $621M (76% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 17, 2026.
View current Form ADV (SEC/IAPD) ↗