# PROSPERITY FINANCIAL GROUP, INC.

PROSPERITY FINANCIAL GROUP, INC. of SAN RAMON, CA is an SEC-registered investment adviser.

## Registration

- CRD: 145540
- Type: SEC-registered investment adviser
- SEC file number: 801-100511
- Location: 2333 SAN RAMON VALLEY BLVD., SUITE 200, SAN RAMON, CA, 94583
- Phone: 925-314-8500
- Latest filing: 2025-12-08
- Regulatory AUM: $358.9M
- Discretionary AUM: $358.9M
- Clients: 11
- Accounts: 1,202

## Officers, owners & control persons (6)

| Name | Role | Location |
| --- | --- | --- |
| James Derek Hebert | PRESIDENT | — |
| Andrew Joseph Agosta | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, VICE PRESIDENT | — |
| Elliot Herbert Kallen | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| BALLWEG CHARLES A | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | — |
| KALLEN ELLIOT HERBERT | PRESIDENT & CHIEF COMPLIANCE OFFICER; SHAREHOLDER/PRESIDENT | — |
| BALLWEG CHARLES ANTHONY | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER; NON-VOTING MINORITY PARTNER; PARTNER | — |


## Disclosures (2)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-09-01 | civil | IMPROPER SALES PRACTICES REGARDING LIFE INSURANCE POLICY. | Pending | — |
| 2022-09-01 | civil | IMPROPER SALES PRACTICES REGARDING LIFE INSURANCE POLICY. | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/145540/brochure
- Similar advisers: https://search.stillhousedata.com/firm/145540/similar
- Related entities: https://search.stillhousedata.com/firm/145540/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/145540

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.