PROSPERITY FINANCIAL GROUP, INC.
PROSPERITY FINANCIAL GROUP, INC. of SAN RAMON, CA is an SEC-registered investment adviser (CRD 145540). Regulatory assets under management: $358.9M.
Registration
- CRD: 145540
- SEC file number: 801-100511
- Type: Registered investment adviser
- 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 | — |
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