PROSPERA FINANCIAL SERVICES, INC.
CRD #10740 SEC #801-65845 DALLAS, TX 972-581-3000
SEC Registered Broker-Dealer Disclosures
Total AUM
$12.4B
Discretionary
$8.4B
Employees
333
Clients
11
Accounts
29,500
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Sep 2025 | $12.4B | $8.4B | $4.1B | 333 | 14 |
| Aug 2025 | $9.8B | $6.2B | $3.6B | 265 | 8 |
| Apr 2025 | $9.8B | $6.2B | $3.6B | 265 | 8 |
| Sep 2024 | $9.8B | $6.2B | $3.6B | 265 | 8 |
| Aug 2024 | $7.9B | $4.9B | $3B | 240 | 3 |
| Jan 2024 | $7.9B | $4.9B | $3B | 240 | 3 |
| Nov 2023 | $7.9B | $4.9B | $3B | 240 | 3 |
| Sep 2023 | $7.9B | $4.9B | $3B | 240 | 3 |
| May 2023 | $5.9B | $3.9B | $2B | 242 | 11 |
| Apr 2023 | $5.9B | $3.9B | $2B | 242 | 11 |
| Dec 2022 | $5.9B | $3.9B | $2B | 242 | 11 |
| Oct 2022 | $5.9B | $3.9B | $2B | 242 | 11 |
| Oct 2022 | $5.9B | $3.9B | $2B | 242 | 11 |
| Sep 2022 | $5.9B | $3.9B | $2B | 242 | 11 |
| Feb 2022 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Feb 2022 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Feb 2022 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Jan 2022 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Dec 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Nov 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Oct 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Oct 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Sep 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Sep 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Sep 2021 | $6.7B | $4.1B | $2.6B | 217 | 10 |
| Jul 2021 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Jul 2021 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Apr 2021 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Mar 2021 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Jan 2021 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Nov 2020 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Oct 2020 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Sep 2020 | $3.4B | $2.2B | $1.2B | 199 | 44 |
| Jun 2020 | $2.8B | $2.3B | $512.9M | 186 | 54 |
| Apr 2020 | $2.8B | $2.3B | $512.9M | 186 | 54 |
| Jan 2020 | $2.8B | $2.3B | $512.9M | 186 | 54 |
| Dec 2019 | $2.8B | $2.3B | $512.9M | 186 | 54 |
| Oct 2019 | $2.8B | $2.3B | $512.9M | 186 | 54 |
| Sep 2019 | $2.8B | $2.3B | $512.9M | 186 | 54 |
| Aug 2019 | $2.5B | $2B | $571.8M | 190 | 62 |
| Apr 2019 | $2.5B | $2B | $571.8M | 190 | 62 |
| Jan 2019 | $2.5B | $2B | $571.8M | 190 | 62 |
| Dec 2018 | $2.5B | $2B | $571.8M | 190 | 62 |
| Oct 2018 | $2.5B | $2B | $571.8M | 190 | 62 |
| Sep 2018 | $2.5B | $2B | $571.8M | 190 | 62 |
| Aug 2018 | $1.7B | $1B | $625.3M | 186 | 0 |
| Jul 2018 | $1.7B | $1B | $625.3M | 186 | 0 |
| May 2018 | $1.7B | $1B | $625.3M | 186 | 0 |
| Apr 2018 | $1.7B | $1B | $625.3M | 186 | 0 |
| Feb 2018 | $1.7B | $1B | $625.3M | 186 | 0 |
| Dec 2017 | $1.7B | $1B | $625.3M | 186 | 0 |
| Nov 2017 | $1.7B | $1B | $625.3M | 186 | 0 |
| Oct 2017 | $1.7B | $1B | $625.3M | 186 | 0 |
| Sep 2017 | $1.7B | $1B | $625.3M | 186 | 4,500 |
| Jul 2017 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Jul 2017 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Apr 2017 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Mar 2017 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Feb 2017 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Jan 2017 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Nov 2016 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Oct 2016 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Sep 2016 | $1.4B | $850.3M | $532.5M | 193 | 4,500 |
| Jun 2016 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| May 2016 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Mar 2016 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Mar 2016 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Jan 2016 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Dec 2015 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Dec 2015 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Dec 2015 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Nov 2015 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Sep 2015 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| Sep 2015 | $1.4B | $785.2M | $580.4M | 200 | 4,500 |
| May 2015 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| May 2015 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| Mar 2015 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| Nov 2014 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| Nov 2014 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| Oct 2014 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| Sep 2014 | $1.2B | $745.6M | $458.9M | 200 | 5,000 |
| Apr 2014 | $1.2B | $694.4M | $474.8M | 110 | 4,900 |
| Sep 2013 | $989M | $550.1M | $438.9M | 110 | 4,900 |
| Sep 2013 | $669.8M | $433.5M | $236.2M | 110 | 3,300 |
| Sep 2013 | $669.8M | $433.5M | $236.2M | 110 | 3,300 |
| Jul 2013 | $669.8M | $433.5M | $236.2M | 110 | 3,300 |
| Jul 2013 | $669.8M | $433.5M | $236.2M | 110 | 3,300 |
| Jun 2013 | $669.8M | $433.5M | $236.2M | 110 | 3,300 |
| Apr 2013 | $669.8M | $433.5M | $236.2M | 110 | 3,300 |
| Sep 2012 | $669.8M | $433.5M | $236.2M | 51 | 3,300 |
| Mar 2012 | $824.5M | $692.5M | $132M | 51 | 4,000 |
| Nov 2011 | $780.8M | $625.5M | $155.3M | 51 | 3,000 |
| Feb 2011 | $394.9M | $211.1M | $183.8M | 51 | -- |
| Jan 2011 | $394.9M | $211.1M | $183.8M | 51 | -- |
| Nov 2010 | $394.9M | $211.1M | $183.8M | 51 | -- |
| Sep 2010 | $394.9M | $211.1M | $183.8M | 51 | -- |
| Sep 2009 | $321.2M | $90M | $231.3M | 51 | -- |
| Apr 2009 | $239.8M | $67M | $172.8M | 51 | -- |
| Jan 2008 | $352M | $140.5M | $211.6M | 51 | -- |
| Dec 2007 | $352M | $140.5M | $211.6M | 51 | -- |
| Oct 2007 | $352M | $140.5M | $211.6M | 51 | -- |
| Sep 2007 | $352M | $140.5M | $211.6M | 51 | -- |
| Sep 2007 | $50.6M | $0 | $50.6M | 51 | -- |
| Apr 2007 | $50.6M | $0 | $50.6M | 51 | -- |
| Mar 2007 | $50.6M | $0 | $50.6M | 51 | -- |
| Dec 2005 | $50.6M | $0 | $50.6M | 51 | -- |
DateSep 2025
Total AUM$12.4B
Discretionary$8.4B
Non-Disc.$4.1B
Employees333
Clients14
DateAug 2025
Total AUM$9.8B
Discretionary$6.2B
Non-Disc.$3.6B
Employees265
Clients8
DateApr 2025
Total AUM$9.8B
Discretionary$6.2B
Non-Disc.$3.6B
Employees265
Clients8
DateSep 2024
Total AUM$9.8B
Discretionary$6.2B
Non-Disc.$3.6B
Employees265
Clients8
DateAug 2024
Total AUM$7.9B
Discretionary$4.9B
Non-Disc.$3B
Employees240
Clients3
DateJan 2024
Total AUM$7.9B
Discretionary$4.9B
Non-Disc.$3B
Employees240
Clients3
DateNov 2023
Total AUM$7.9B
Discretionary$4.9B
Non-Disc.$3B
Employees240
Clients3
DateSep 2023
Total AUM$7.9B
Discretionary$4.9B
Non-Disc.$3B
Employees240
Clients3
DateMay 2023
Total AUM$5.9B
Discretionary$3.9B
Non-Disc.$2B
Employees242
Clients11
DateApr 2023
Total AUM$5.9B
Discretionary$3.9B
Non-Disc.$2B
Employees242
Clients11
DateDec 2022
Total AUM$5.9B
Discretionary$3.9B
Non-Disc.$2B
Employees242
Clients11
DateOct 2022
Total AUM$5.9B
Discretionary$3.9B
Non-Disc.$2B
Employees242
Clients11
DateOct 2022
Total AUM$5.9B
Discretionary$3.9B
Non-Disc.$2B
Employees242
Clients11
DateSep 2022
Total AUM$5.9B
Discretionary$3.9B
Non-Disc.$2B
Employees242
Clients11
DateFeb 2022
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateFeb 2022
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateFeb 2022
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateJan 2022
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateDec 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateNov 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateOct 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateOct 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateSep 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateSep 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateSep 2021
Total AUM$6.7B
Discretionary$4.1B
Non-Disc.$2.6B
Employees217
Clients10
DateJul 2021
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateJul 2021
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateApr 2021
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateMar 2021
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateJan 2021
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateNov 2020
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateOct 2020
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateSep 2020
Total AUM$3.4B
Discretionary$2.2B
Non-Disc.$1.2B
Employees199
Clients44
DateJun 2020
Total AUM$2.8B
Discretionary$2.3B
Non-Disc.$512.9M
Employees186
Clients54
DateApr 2020
Total AUM$2.8B
Discretionary$2.3B
Non-Disc.$512.9M
Employees186
Clients54
DateJan 2020
Total AUM$2.8B
Discretionary$2.3B
Non-Disc.$512.9M
Employees186
Clients54
DateDec 2019
Total AUM$2.8B
Discretionary$2.3B
Non-Disc.$512.9M
Employees186
Clients54
DateOct 2019
Total AUM$2.8B
Discretionary$2.3B
Non-Disc.$512.9M
Employees186
Clients54
DateSep 2019
Total AUM$2.8B
Discretionary$2.3B
Non-Disc.$512.9M
Employees186
Clients54
DateAug 2019
Total AUM$2.5B
Discretionary$2B
Non-Disc.$571.8M
Employees190
Clients62
DateApr 2019
Total AUM$2.5B
Discretionary$2B
Non-Disc.$571.8M
Employees190
Clients62
DateJan 2019
Total AUM$2.5B
Discretionary$2B
Non-Disc.$571.8M
Employees190
Clients62
DateDec 2018
Total AUM$2.5B
Discretionary$2B
Non-Disc.$571.8M
Employees190
Clients62
DateOct 2018
Total AUM$2.5B
Discretionary$2B
Non-Disc.$571.8M
Employees190
Clients62
DateSep 2018
Total AUM$2.5B
Discretionary$2B
Non-Disc.$571.8M
Employees190
Clients62
DateAug 2018
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateJul 2018
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateMay 2018
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateApr 2018
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateFeb 2018
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateDec 2017
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateNov 2017
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateOct 2017
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients0
DateSep 2017
Total AUM$1.7B
Discretionary$1B
Non-Disc.$625.3M
Employees186
Clients4,500
DateJul 2017
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateJul 2017
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateApr 2017
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateMar 2017
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateFeb 2017
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateJan 2017
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateNov 2016
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateOct 2016
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateSep 2016
Total AUM$1.4B
Discretionary$850.3M
Non-Disc.$532.5M
Employees193
Clients4,500
DateJun 2016
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateMay 2016
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateMar 2016
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateMar 2016
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateJan 2016
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateDec 2015
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateDec 2015
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateDec 2015
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateNov 2015
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateSep 2015
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateSep 2015
Total AUM$1.4B
Discretionary$785.2M
Non-Disc.$580.4M
Employees200
Clients4,500
DateMay 2015
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateMay 2015
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateMar 2015
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateNov 2014
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateNov 2014
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateOct 2014
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateSep 2014
Total AUM$1.2B
Discretionary$745.6M
Non-Disc.$458.9M
Employees200
Clients5,000
DateApr 2014
Total AUM$1.2B
Discretionary$694.4M
Non-Disc.$474.8M
Employees110
Clients4,900
DateSep 2013
Total AUM$989M
Discretionary$550.1M
Non-Disc.$438.9M
Employees110
Clients4,900
DateSep 2013
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees110
Clients3,300
DateSep 2013
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees110
Clients3,300
DateJul 2013
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees110
Clients3,300
DateJul 2013
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees110
Clients3,300
DateJun 2013
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees110
Clients3,300
DateApr 2013
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees110
Clients3,300
DateSep 2012
Total AUM$669.8M
Discretionary$433.5M
Non-Disc.$236.2M
Employees51
Clients3,300
DateMar 2012
Total AUM$824.5M
Discretionary$692.5M
Non-Disc.$132M
Employees51
Clients4,000
DateNov 2011
Total AUM$780.8M
Discretionary$625.5M
Non-Disc.$155.3M
Employees51
Clients3,000
DateFeb 2011
Total AUM$394.9M
Discretionary$211.1M
Non-Disc.$183.8M
Employees51
Clients--
DateJan 2011
Total AUM$394.9M
Discretionary$211.1M
Non-Disc.$183.8M
Employees51
Clients--
DateNov 2010
Total AUM$394.9M
Discretionary$211.1M
Non-Disc.$183.8M
Employees51
Clients--
DateSep 2010
Total AUM$394.9M
Discretionary$211.1M
Non-Disc.$183.8M
Employees51
Clients--
DateSep 2009
Total AUM$321.2M
Discretionary$90M
Non-Disc.$231.3M
Employees51
Clients--
DateApr 2009
Total AUM$239.8M
Discretionary$67M
Non-Disc.$172.8M
Employees51
Clients--
DateJan 2008
Total AUM$352M
Discretionary$140.5M
Non-Disc.$211.6M
Employees51
Clients--
DateDec 2007
Total AUM$352M
Discretionary$140.5M
Non-Disc.$211.6M
Employees51
Clients--
DateOct 2007
Total AUM$352M
Discretionary$140.5M
Non-Disc.$211.6M
Employees51
Clients--
DateSep 2007
Total AUM$352M
Discretionary$140.5M
Non-Disc.$211.6M
Employees51
Clients--
DateSep 2007
Total AUM$50.6M
Discretionary$0
Non-Disc.$50.6M
Employees51
Clients--
DateApr 2007
Total AUM$50.6M
Discretionary$0
Non-Disc.$50.6M
Employees51
Clients--
DateMar 2007
Total AUM$50.6M
Discretionary$0
Non-Disc.$50.6M
Employees51
Clients--
DateDec 2005
Total AUM$50.6M
Discretionary$0
Non-Disc.$50.6M
Employees51
Clients--