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CFP

Ashwini Ahluwalia

Prosperity Capital Advisors
36 Years of Experience
Red Bank, NJ
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Ashwini Ahluwalia is a CFP-designated registered investment advisor at Prosperity Capital Advisors, based in Red Bank, NJ, with 36 years of industry experience. Ashwini is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 7,548 clients with $4.4B in assets under management.

Prosperity Capital Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
101 advisors
Number of Clients
7,548 clients
Average Client Portfolio
$581K average
Assets Under Management
$4.4B

Fee Structure

Minimum Investment:$1K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$150
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K0.50%
$500K - $1.0M0.40%
$1.0M - $2.0M0.30%
$2.0M - $5.0M0.25%
$5M+0.20%

Fees are negotiable. Total annual fees for retail clients typically range between 0.20% and 2.0% when including advisor fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ, 07701

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2010
Closed-No Action
Customer Dispute
November 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ashwini is involved in several business activities, including fixed annuity sales, marketing insurance and financial planning services, Medicare Supplement Health Insurance sales, social security planning, and working as a financial advisor. She also sells securities through M Holding Securities, Inc. and receives commissions, spending a few hours per week on this activity.

Employment History
Current Registrations
Prosperity Capital Advisors
November 2023 - Present · 2 yrs 11 mos
M Holdings Securities, INC.Broker
April 2014 - Present · 12 yrs 6 mos
Previous Registrations
M Holdings Securities, INC.
April 2014 - March 2024 · 9 yrs 11 mos
M Holdings Securities, INC.Broker
March 2014 - March 2014 · 0 mos
M Holdings Securities, INC.
March 2014 - March 2014 · 0 mos
Metlife Securities INC.
April 2012 - April 2014 · 2 yrs
Metlife Securities INC.Broker
April 2012 - April 2014 · 2 yrs
Hornor, Townsend & Kent, INC.
February 2010 - April 2012 · 2 yrs 2 mos
Hornor, Townsend & Kent, INC.Broker
January 2010 - April 2012 · 2 yrs 3 mos
Ameritas Investment CORP
June 2009 - January 2010 · 7 mos
Ameritas Investment CORP.Broker
December 2008 - January 2010 · 1 yr 1 mo
Metlife Securities INC.
July 2002 - October 2008 · 6 yrs 3 mos
Metlife Securities INC.Broker
February 2002 - October 2008 · 6 yrs 8 mos
Metropolitan Life Insurance CompanyBroker
February 2002 - July 2007 · 5 yrs 5 mos
1717 Capital Management CompanyBroker
October 1997 - January 2002 · 4 yrs 3 mos
MML Investors Services, INC.Broker
February 1995 - October 1997 · 2 yrs 8 mos
Metlife Securities INC.Broker
September 1991 - January 1995 · 3 yrs 4 mos
Metropolitan Life Insurance CompanyBroker
September 1991 - January 1995 · 3 yrs 4 mos
Sre Investor Services, INC.Broker
April 1988 - November 1989 · 1 yr 7 mos
State Registrations12 states
CTDEFLMAMONCNJNVNYPASDWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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