Asset manager · Overland Park, KS
Prime Capital Financial
Prime Capital Investment Advisors, LLC · SEC-registered investment adviser · CRD 288712 · SEC 801-110709
At a glance
Prime Capital Financial is an SEC-registered investment adviser based in Overland Park, Kansas, with $39.1 billion in regulatory assets under management as of its Form ADV filed June 1, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 22,129 individual clients. By Form ADV it is a asset manager, ranked 246th of 3,218 asset managers and 529th of 17,210 SEC-registered advisers by assets.
Main office 800-493-6226primefinancial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $39B
- Rank among asset managers
- #246 of 3,218
- Rank among all SEC RIAs
- #529 of 17,210
- Rank in Kansas
- #5 of 134
- Individual clients
- 22,129
- High-net-worth clients
- 5,571
- Accounts
- 55,376
- Discretionary
- 50% of AUM
- Employees
- 460
- Advisory staff
- 261
- Offices
- 88
Owners and executives on its Form ADV
- Scott J. ColangeloChairman
- Anthony E. WoodardChief Compliance Officer
- Tim D. HakesElected Manager / Vice-Chairman
- Glenn A. SpencerChief Executive Officer
- Brian S. DillbeckChief Financial & Operations Officer
- Scott J. DubaPresident
- William T. McGoughChief Investment Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Prime Capital Financial is a hybrid RIA: 65 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed June 2026) names Private Client Services, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
A client’s IAR may be a Registered Representative of Private Client Services (“Broker-Dealer”), which is a Broker-Dealer registered with the Securities Exchange Commission (“SEC”) and a member of the Financial Industry Regulatory Authority
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 1,378 | $18B | 45% |
| High-net-worth individuals | 5,571 | $13B | 33% |
| Individuals | 16,558 | $5.8B | 15% |
| Pooled investment vehicles | 1 | $1.8B | 5% |
| Corporations or other businesses | 382 | $739M | 2% |
| Charitable organizations | 75 | $43M | <1% |
Disciplinary disclosures
Prime Capital Financial reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗primefinancial.com ↗
AtlasMembers
The full record on Prime Capital Financial
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 326 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 4Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Prime Capital Financial manage?
Prime Capital Financial reports $39.1 billion in regulatory assets under management across 55,376 accounts, 50% of it on a discretionary basis, on its Form ADV filed June 1, 2026.
What kind of firm is Prime Capital Financial?
Prime Capital Financial is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Prime Capital Financial’s clients?
By assets, its largest client types are pension and profit sharing plans ($17.7 billion, 1,378 clients); high-net-worth individuals ($13.0 billion, 5,571 clients); individuals ($5.8 billion, 16,558 clients).
Does Prime Capital Financial have any disciplinary history?
Prime Capital Financial reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Prime Capital Financial’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →