FAQ
Answers to the Questions We Hear Most Often From Advisors Exploring a Partnership with Prosperity
Frequently Asked Questions about Working with Prosperity Capital Advisors
If you don’t find what you’re looking for here, schedule a call with one of our Advisor Growth Specialists. We’re happy to walk you through anything.
About Prosperity Capital Advisors
Many platforms offer tools or flexibility. Prosperity offers both — plus the proprietary planning frameworks, hands-on training, and peer community that help advisors implement and grow. We are practicing advisors ourselves, which means everything we offer has been field-tested inside real firms serving real clients.
Yes. Our entire model is built around best-interest, client-first planning. The Bucket Plan® Best Interest Process is the foundation of how affiliated advisors deliver advice.
About the Two Paths
We offer two paths:
- The Prosperity Entrepreneur model for advisors who want to remain independent while accessing our ecosystem
- The Prosperity Partner model for firms ready to integrate and scale with full operational and succession support
Not if you choose the Prosperity Entrepreneur path. You retain full control of your firm and your brand while accessing our tools, training, and community. Prosperity Partners may transition to the Prosperity brand as part of integration, but that conversation happens individually with each firm.
We typically work with independent advisors who are Series 65 and insurance-licensed with at least $20 million in current AUM and a growth mindset. If you’re not sure whether you qualify, schedule a call, and we’ll talk through it.
That’s exactly what our first call is for. Our Advisor Growth Specialists will ask about where your firm is today, what you’re trying to build, and what obstacles are in the way. Then, they’ll help you determine which model makes the most sense.
About the Platform and Tools
The Bucket Plan® is a holistic financial planning process developed by Jason L. Smith that simplifies how advisors build and deliver comprehensive client plans. Advisors who implement it report higher closing ratios, better client retention, and a more repeatable, scalable planning process.
We offer a full-service RIA and TAMP with institutional-grade investment solutions, including core strategic models, specialized strategies, and separately managed accounts through partners like Vanguard, BlackRock, and Dimensional Fund Advisors.
We are custodian agnostic and work with both Schwab and Fidelity.
Affiliated advisors gain access to an integrated tech stack, including Salesforce Financial Services Cloud with AgentForce AI automation, Orion for portfolio management and reporting, DocuSign, and custodial access through Schwab and Fidelity.
Yes. For an additional fee, advisors can work with Prosperity Financial Marketing, our in-house marketing agency built exclusively for financial advisory firms. As an affiliated advisor, you can access marketing assistance, content creation, lead generation support, and more.
About the Process
Every onboarding is tailored to the advisor’s model and needs. The first step is a conversation with an Advisor Growth Specialist to assess fit. From there, we’ll walk you through what affiliation or integration looks like for your specific situation.
Affiliated advisors have access to live training events, including The Bucket Plan® 1.0 and 2.0, The Tax Management Journey®, and The Teamwork Movement, as well as on-demand learning modules, coaching calls, and our annual Prosperity Collegium event.
Beyond training, you gain access to our Million Dollar Clubs ($25M, $50M, and $100M tiers), Prosperity Live! monthly events, A Woman’s Clarity® programming, and a nationwide network of like-minded advisors committed to growth.
Schedule a call with one of our Advisor Growth Specialists to discuss where you are and whether Prosperity Capital Advisors might be the right fit for where you’re headed.
