Prosperity Planning

RIASEC RegisteredEst. 2018
Total AUM
$543M
Discretionary
$534M
98% of AUM
Avg account
$379K
Accounts
1,432
Employees
13
Advisory reps
10

Firm details

Headquarters
North Kansas City, Missouri
CRD number
298268
Registered since
September 6, 2018
Website
www.prosperityplanninginc.com
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI82.62%
  • Individuals14.42%
  • Pension & Profit Sharing Plans1.63%
  • Charitable Organizations1.21%
  • Corporations / Businesses0.12%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

Prosperity Planning is an independent registered investment adviser formed in 2018 and owned by an individual. It serves both individual and family clients and institutional/business clients, delivering financial planning alongside portfolio management for individuals, small businesses, and institutions, plus pension consulting. The firm charges a mix of percentage-of-AUM and fixed fees and does not operate pooled investment funds; instead it allocates client capital to external managers and public funds where appropriate. Prosperity Planning does not position itself as an ESG-focused investor and is not registered as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 94%, Exchange Traded Equities 3%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Private Funds 1%, Cash & Cash Equivalents 1%94%
  • Public Funds/Mutual Funds94%
  • Exchange Traded Equities3%
  • US Government Bonds1%
  • State & Local Bonds1%
  • Investment Grade Corp Bonds1%

Owners & executives

1 of 1
  • Kenneth Borum

    Kenneth Borum

    Partner & Chief Financial OfficerCRD 4776520

Contacts

3 of 9
  • Ryan Noble

    Ryan Noble

    Wealth ManagerCRD 4931140

  • James Watts

    James Watts

    Financial Planning AssociateCRD 8251070

  • Travis Franks

    Travis Franks

    Client Service SpecialistCRD 8127353

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 108

Active vs passive

$425M in ETFs

Passive

70%

$297M

Active

28%

$127M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE 1-5 YEAR USD BOND ETF (ISTB)BlackRockPassiveShort Term Bond$53M1,098,25212.48%
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Location

Primary office

North Kansas City, MO

Clay

Location

North Kansas City, MO

Headquartered in North Kansas City, MO, anchoring the Kansas City-Overland Park-Kansas City, MO-KS metro in the Midwest.

Metro area
Kansas City-Overland Park-Kansas City, MO-KS
Region
Midwest
County
Clay
Address
1920 Buchanan St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth