PROSPERITY ADVISERS, LLC of HORSHAM, PA is an SEC-registered investment adviser (CRD 282998). Regulatory assets under management: $375.8M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Lisa Janea Barram | MANAGER | — |
| Daniel Nmn Barram | MANAGER/CHIEF COMPLIANCE OFFICER | — |
| BARRAM LISA JANEA | MANAGER | — |
| BARRAM DANIEL NMN | MANAGER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-08-04 | regulatory | BETWEEN 10/8/2019 AND 6/3/2020, PROSPERITY ADVISERS TRANSACTED BUSINESS IN KANSAS AS AN INVESTMENT ADVISER DURING WHICH TIME PROSPERITY ADVISERS WAS NEITHER REGISTERED AS AN INVESTMENT ADVISER UNDER THE KUSA NOR EXEMPT FROM REGISTRATION. | Final | $500 |