Data / Investment advisers / Texas / Prospera Financial Services, Inc.
Prospera Financial Services, Inc., Dallas, TX: $14.4 billion AUM, SEC registered investment adviser
Prospera Financial Services, Inc. is an SEC registered investment adviser with its main office in Dallas, Texas and reports $14.4 billion in regulatory assets under management in its Form ADV filed September 30, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 10740
- SEC file number
- 801-65845
- SEC status
- Approved, effective February 1, 2006
- Main office
- 5429 LBJ Freeway Suite 750, Dallas, TX 75240
- Phone
- (972) 581-3000
- Regulatory AUM
- $14,387,540,045 in the Form ADV filed September 30, 2026
- Discretionary AUM
- $9,785,164,394
- Non discretionary AUM
- $4,602,375,651
- Accounts
- 31,454
- Employees
- 326, of which 211 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, commissions, performance based fees, other fees
- Other offices
- 149
- Form ADV Item 11 disclosures
- Reported: criminal actions, SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- September 30, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 7,796 | $8.49 billion |
| Individuals (other than high net worth individuals) | 10,082 | $3.70 billion |
| Pension and profit sharing plans | 389 | $1.41 billion |
| Corporations or other businesses | 188 | $562.1 million |
| Charitable organizations | 126 | $184.5 million |
| Pooled investment vehicles | 3 | $38.5 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| October 2, 2026 | $14.39 billion | September 30, 2026 |
| December 1, 2025 | $12.44 billion | September 30, 2025 |
Other advisers in Dallas
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| HBK Capital Management | Dallas | $35.61 billion | 4 | adviserinfo.sec.gov |
| Trinitas Capital Management | Dallas | $19.56 billion | 45 | adviserinfo.sec.gov |
| RCP Advisors 2, LLC | Dallas | $18.21 billion | 75 | adviserinfo.sec.gov |
| Maverick Capital LTD | Dallas | $15.85 billion | 19 | adviserinfo.sec.gov |
| Crow Holdings Capital | Dallas | $14.45 billion | 28 | adviserinfo.sec.gov |
| Westwood Management Corp | Dallas | $12.46 billion | Not listed | adviserinfo.sec.gov |
| Canyon Capital Advisors LLC | Dallas | $11.92 billion | 24 | adviserinfo.sec.gov |
| Canyon Clo Advisors LP | Dallas | $11.91 billion | 27 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Dallas, TX
- Investment advisers in Texas
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Prospera Financial Services, Inc. on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.