SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Prime Capital Financial
Overland Park, KS
Prime Capital Investment Advisors, LLC, CRD 288712
Firm filing updated June 1, 2026 ·
- $39.1BAssets
- 23,965Clients
- 261Advisory staff
- 55,376Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Performance-based feesYes
- OtherYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
Who the firm serves
- Individuals16,558
- High net worth individuals5,571
- Pension and profit sharing plans1,378
- Corporations or other businesses382
- Charities75
- and 1 more1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 16,558 | $5.8 billion |
| High net worth individuals | 5,571 | $13.0 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $1.8 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1,378 | $17.7 billion |
| Charitable organizations | 75 | $43.5 million |
| Corporations or other businesses not listed above | 382 | $739.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 8 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Other: "QUALIFIED RETIREMENT PLAN SERVICES, CONSULTING SERVICES, CO-ADVISORY, SELECTION OF SUB-ADVISORS"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Other: "QUALIFIED RETIREMENT PLAN SERVICES, CONSULTING SERVICES, CO-ADVISORY, SELECTION OF SUB-ADVISORS"
Assets and accounts
- Regulatory assets$39.1 billion
- Accounts55,376
- Discretionary$19.6 billion · 32,014 accounts
- Non-discretionary$19.6 billion · 23,362 accounts
People
- Employees460
- Advisory staff261
- Broker-dealer reps65
- Licensed insurance agents178
- Planning clients101 to 250
Advisors
164 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Prime Capital Investment Advisors, LLC SEC-registered investment advisor. CRD 288712, SEC file 801-110709.
- Registered with the SEC as an investment advisor (status date on record: June 23, 2017).
Is Prime Capital Financial a fiduciary?
Short answer: Prime Capital Financial is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 65 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
178 staff are licensed insurance agents, the firm is itself an insurance broker or agent and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.