Prime Capital Financial

Registered investment adviser · Overland Park, KS · CRD #288712

Form ADV data as of 2026-09-01

Regulatory assets

$39.14 billion

Total accounts

55,376

Employees

460

Disclosure events

Firm details

Website: https://www.linkedin.com/company/primecapitalfinancial/
Telephone: (800) 493-6226
SEC file number: 801-110709
Most recent Form ADV filing: 2026-06-01
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$19.56 billion
Non-discretionary regulatory assets under management	$19.58 billion
Total regulatory assets under management	$39.14 billion
Discretionary accounts	32,014
Non-discretionary accounts	23,362
Total accounts	55,376
Regulatory assets under management attributable to non-U.S. persons	$3.9 million

People

Total employees (excluding clerical)	460
Employees performing investment advisory functions (including research)	261
Employees who are registered representatives of a broker-dealer	65
Employees registered as investment adviser representatives with a state	261
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	178
Firms or persons who solicit advisory clients on the firm's behalf	11

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	No
Client funds and securities held in the firm's custody	$1.0 million
Clients for whom the firm has custody	5
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	50

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Performance-based feesOther

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsOther

Other business activities

Insurance broker or agentAccountant or accounting firm

Affiliated related persons

Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	16,558	$5.84 billion
High net worth individuals	5,571	$12.98 billion
Pooled investment vehicles (other than investment companies and BDCs)	1	$1.80 billion
Pension and profit sharing plans (not the participants or government plans)	1,378	$17.73 billion
Charitable organizations	75	$43.5 million
Corporations or other businesses not listed above	382	$739.0 million