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PRIME CAPITAL FINANCIAL

OVERLAND PARK, KS · CRD 288712 · IAPD ↗ · (800) 493-6226

$39.14BRegulatory AUM
261Advisory reps
460Employees
1816Clients
101-250Planning clients
0Private funds
52States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
July 2026 — PRIME CAPITAL FINANCIAL shrank from 266 to 261 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
July 2026 — PRIME CAPITAL FINANCIAL now reports custody of client assets ($1.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
55
April 2026 — PRIME CAPITAL FINANCIAL added office(s): 83 -> 87 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2026 — PRIME CAPITAL FINANCIAL reported RAUM up 30% ($30.11B -> $39.14B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — PRIME CAPITAL FINANCIAL grew from 245 to 266 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
January 2026 — PRIME CAPITAL FINANCIAL added office(s): 77 -> 83 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
76
January 2026 — PRIME CAPITAL FINANCIAL grew from 239 to 245 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — PRIME CAPITAL FINANCIAL added office(s): 70 -> 77 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — PRIME CAPITAL FINANCIAL grew from 198 to 240 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
60
August 2024 — PRIME CAPITAL INVESTMENT ADVISORS, LLC is now doing business as PRIME CAPITAL FINANCIAL.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
69
April 2024 — PRIME CAPITAL INVESTMENT ADVISORS, LLC reported RAUM up 46% ($16.69B -> $24.36B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
80
April 2024 — PRIME CAPITAL INVESTMENT ADVISORS, LLC grew from 188 to 198 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.