Broker Check
Why join Prosperity Network of Advisors?

Why join Prosperity Network of Advisors?

You deserve a partnership that matches your ambition.


At Prosperity, you gain the strength of a large, experienced OSJ with the practical wisdom of a team that runs active, real-world advisory practices every day. We understand what it’s like to sit across from clients, build a book, and manage a team — because we do it too.


You’re not just affiliating with an enterprise. You’re joining a community of advisors who share resources, collaborate freely, and grow together with the backing of a trusted name and proven systems.

By combining the shared leadership and resources of Prosperity Network of Advisors with the depth of Prosperity Advisors’ established client practice, we deliver the scale of a large OSJ enterprise with the practical expertise of an active, real-world advisory business. We help advisors grow, protect, and transition their practices through structured support in these core areas:


Continuity & Succession Support

  • Guidance on due diligence, deal terms, valuation approaches, pricing, and tax considerations.
  • Coaching on partnership structures, internal/external successors, and advisor-to-advisor agreements.
  • Support facilitation when Prosperity Advisors or another advisor in Prosperity’s OSJ is an appropriate successor.



Practice Management Consulting

  • Business Structure & Financials
    • Guidance on business formation (sole prop, LLC, S-corp, partnership, C-corp).
    • Input on operating agreements, partner comp, and profit distribution.
    • Financial reporting education (Income Statement, Balance Sheet, General Ledger setup) and benchmarking.
    • Consulting on valuations, revenue/expense analysis, and commission issues.
  • People / Hiring / HR
    • Guidance on the hiring process, including job posting strategy and offer considerations
    • Experience-sharing on career-pathing, training, internships, and compensation design.
    • Consultative guidance on job descriptions, performance coaching, and non-solicitation/confidentiality agreements.
    • Advisor/partner/employee exit and transition support (including rep code changes).
  • Equity / Partner Topics
    • Insight for adding partners, mergers, offering equity to internal talent, and buyout structures.



Investment Management Support

  • Advisory & Markets
    • Quarterly Market Outlook webinars (CIO Brett Jergens, CFA®, CFP®).
    • Quarterly Investment Round-table (CIO Brett Jergens, CFA®, CFP®).
    • Collaboration on investment philosophy, non-traditional ideas, and investment team development.
    • Guidance on block trading, SmartWorks workflows, and platform cost/revenue comparisons.
    • Trading support for client cash flow needs when advisors are temporarily unavailable due to illness or emergency.
  • Portfolio Resource Group (PRG) — 80/20 Split
    • Turnkey investment management from Prosperity’s in-house team (~$2B AUM; CIO with institutional experience overseeing ~$25B).
    • Customized portfolio construction; engagement with advisor and top clients.
    • Direct PM access; ongoing market commentary; trade rationales.
    • Institutional-quality management with industry-leading pricing.



Technology & Data Support (Segment-sensitive)

  • Cybersecurity training & phishing campaigns.
  • MS365 and SharePoint training; workflow and automation guidance.
  • Hardware/office tech recommendations and system integration support.
  • Remote support, audit prep assistance, and innovation/best-practice enabling.
  • Business intelligence support via Prosperity Warehouse + Power BI reporting & insights.



Operational Support

  • Support on process design: delegation strategies, internal workflow creation, and admin coaching.
  • Shared tools and templates (e.g., streamlined new-account request process).
  • RMD tracking/management process.
  • Redtail coaching (workflows, UDFs, integrations, automations, communication best practices).
  • Hands-on training for advisor service teams.
  • Daily response support that supplements (not replaces) Cetera’s service.
  • Liaison with Cetera to expedite complex matters
  • Collaborate with Cetera for efficient onboarding and transitions.
  • Real-world expertise to anticipate issues and advocate for advisors.



Employer Retirement Plan Support - 50/50 Split

  • Support with plan design, fiduciary compliance, and trustee plan review.
  • Offering of group employee education + one-on-one participant meetings.
  • Assistance with IPS, plan agreements, and plan-level investment monitoring.
  • Coordination with auditors, TPA, record-keepers, custodians, and payroll teams.



Compliance & Supervision

  • Full audit support: prep, messaging, response, and auditor engagement.
  • Monthly OSJ communications with timely policy and risk guidance.
  • Primary contact for compliance topics; prompt responses validated through Cetera.
  • Offering customized 1:1 training for reps/admins; job-aids and self-service resources.
  • Proactive reminders for deadlines and hot topics.
  • Advisor advocacy with home office; escalation as needed.
  • Experienced team of 6 compliance professionals with 120+ years combined experience.



How We Engage

  • Practical + Advisory: We operate large-scale advisory businesses daily, not just administratively — our guidance is grounded in real-world needs.
  • Hands-On Collaboration: Advisors receive direct access to senior leaders and subject-matter experts.
  • Complement + Enhance: We expand—not duplicate—Cetera’s resources, functioning as a second layer of support.