9AT: PROSPERITY PLANNING

Adviser Profile

As of Date	05/15/2026
Registration	SEC, Approved, 09/06/2018
ADV Location	NORTH KANSAS CITY, MO, United States
Contact Info	816 xxxxxxx
Websites

AUM^*	543,207,022 17%
of that, discretionary	533,612,925 17%
Number of Employees	13
of those in investment advisory functions	10
Private Fund GAV^*	0
Avg Account Size	379,335 8%
% High Net Worth	42.96% 9%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser VICKERMAN INVESTMENT ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM632.3m	#Funds-
Adviser CARR FINANCIAL GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM744.2m	#Funds-
Adviser ROUND ROCK ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM906.7m	#Funds-
Adviser TRITON FINANCIAL GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM261.3m	#Funds-
Adviser THE NALLS SHERBAKOFF GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM337.1m	#Funds-
Adviser TANDEM WEALTH ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM261.5m	#Funds-
Adviser PROSPERITY ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM375.8m	#Funds-
Adviser KILNER CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM336.7m	#Funds-
Adviser WINDSOR WEALTH MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser ZEIT CAPITAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM170.1m	#Funds-

Brochure Summary

Overview

Prosperity Planning, Inc. is a SEC-registered investment adviser with its principal place of business located in Missouri. The firm was founded in April 2004 as an S Corporation under the laws of the State of Missouri and began conducting business as an SEC-registered investment adviser in 2018. The firm’s principal shareholders include:
• Lucinda Lynn Richey, President
• Kenneth Austin Borum, Vice President
• Ryan Kent Noble, Principal
• Daniel Scott, Reiter, Principal As of December 31, 2023, Prosperity Planning, Inc.’s Regulatory Assets Under Management totaled $ 416,710,344 in 1211 accounts, of which $ 409,702,265 in 1204 accounts was discretionary and $ 7,008,079 in 7 accounts was non-discretionary. Prosperity Planning, Inc. offers the following advisory services to our clients: PORTFOLIO MANAGEMENT SERVICES We provide continuous and regular investment supervisory services on a discretionary as well as nondiscretionary basis. We provide our clients with a personalized mix of investments that are appropriate for their investment goals as determined through personal discussions and our data- gathering process. Our investment recommendations are not limited to any specific product or service offered by a broker dealer or insurance company. We encourage broad-based diversification across a globally diversified portfolio of equities, bonds,

real estate, commodities, and cash, primarily using mutual funds and exchange-traded funds. We then review the client portfolios at least annually and rebalance or make recommendations as needed based on the client’s individual needs. Clients may impose reasonable restrictions on investing in certain securities, types of securities, or industry sectors. FINANCIAL PLANNING SERVICES We provide a range of financial planning services, personalized to the needs of clients. Financial planning is a process that helps clients understand their overall financial situation, define specific goals, and take action toward reaching those goals. Our service may encompass one or more of the following topics: retirement planning, college funding, tax planning, portfolio analysis, investment management, risk management, estate planning, and other areas. Financial planning recommendations are not limited to any specific product or service offered by a broker-dealer or insurance company; recommendations are of a general nature. PENSION CONSULTING SERVICES For business owners and self-employed clients, we provide advisory services to help establish a corporate retirement plan, enroll eligible employees, educate employees on investments available within the plan, and provide reporting services. Some of these services are arranged through various third-party administrators. 5

PROSPERITY PLANNING

PROSPERITY PLANNING

PROSPERITY PLANNING, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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PROSPERITY PLANNING PROSPERITY PLANNING PROSPERITY PLANNING, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

PROSPERITY PLANNING

PROSPERITY PLANNING

PROSPERITY PLANNING, INC.