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Prime Capital Investment Advisors

SEC-registered adviser since 2017Overland Park, KSCRD 288712

$39.1B
AUM
23,965
Clients
See fees
Fee
261
Advisory staff

From Form ADV filed 1 June 2026 · data retrieved 15 October 2026SEC record

Prime Capital Investment Advisors is an investment adviser headquartered in Overland Park, Kansas, and registered with the SEC since 2017. Its clients include pension and profit-sharing plans, high-net-worth individuals, and other individuals. High-net-worth individuals account for 33% of its regulatory assets under management.

Its services include financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars. Fee arrangements include a percentage of assets under management, hourly charges, fixed fees, performance-based fees and other arrangements. Pcia SPV-3, LLC owns 75% or more of Prime Capital Investment Advisors, and Glenn Spencer is its CEO.

Clients

Prime Capital Investment Advisors serves 23,965 clients, 5,571 of them high-net-worth individuals. The average client has about $1.6 million with the firm, and high-net-worth clients hold 33% of its $39.1 billion in assets.

Regulatory assets by client type
  • Individuals16,558 clients15%
  • High-net-worth individuals5,571 clients33%
  • Pooled investment vehicles1 clients5%
  • Pension and profit-sharing plans1,378 clients45%
  • OtherCharitable organizations, Corporations and other businesses2%
Show client breakdown
Individuals (other than HNW)
Clients
16,558
Regulatory AUM
$5,837,694,883
Share
14.9%
Avg. per client
$353K
High-net-worth individuals
Clients
5,571
Regulatory AUM
$12,981,463,331
Share
33.2%
Avg. per client
$2.33M
Pooled investment vehicles
Clients
1
Regulatory AUM
$1,804,403,050
Share
4.6%
Avg. per client
$1.80B
Pension and profit-sharing plans
Clients
1,378
Regulatory AUM
$17,733,623,037
Share
45.3%
Avg. per client
$12.9M
Charitable organizations
Clients
75
Regulatory AUM
$43,463,340
Share
0.1%
Avg. per client
$580K
Corporations and other businesses
Clients
382
Regulatory AUM
$738,960,230
Share
1.9%
Avg. per client
$1.93M

Total

Clients
23,965
Regulatory AUM
$39,139,607,871
Share
100%
Avg. per client
$1.63M

What it does

Prime Capital Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers, educational seminars and other activities. It is paid through a percentage of assets, hourly charges, fixed fees, performance-based fees and other arrangements.

Prime Capital Investment Advisors provided financial planning to 101–250 clients last fiscal year and advises no private funds.

50.0% of assets ($19.56B across 32,014 accounts) are managed with discretion; $19.58B across 23,362 accounts are not. $12.21B sits in a wrap fee program the firm both sponsors and manages. 0% of clients are outside the U.S., and 1,816 clients received advice without assets under management last fiscal year.

What the accounts hold

Separately managed account assets by class, year end
  • Stocks5%
  • Funds87%
    • Registered funds86%
    • Pooled vehicles1%
  • Bonds6%
    • Investment grade corporate bonds3%
    • U.S. government and agency bonds1%
    • State and local bonds1%
    • High-yield corporate bonds1%
  • Cash2%

Custodians

Prime Capital Investment Advisors’ client accounts are held mainly at Fidelity, with 35% of managed assets. Prime Capital Investment Advisors has custody of $1.00M for 5 clients.

Managed account assets by custodian
  • FidelityFidelity Management Trust Company · Smithfield, RI · $13.83B35%
  • All other custodians$25.31B65%

Ownership and leadership

Pcia SPV-3, LLC owns 75% or more of Prime Capital Investment Advisors, and Glenn Spencer is its CEO.

Who owns the firm
Prime Capital Investment Advisors, LLC· the adviser

  • Pcia SPV-3, LLC

    Control person · since August 2023

    Owns 75% or more of Prime Capital Investment Advisors, LLC

Leadership

  • Glenn Spencer
    Chief Executive Officer
  • Scott Duba
    President
  • Brian Dillbeck
    Chief Financial & Operations Officer
  • Anthony Woodard
    Chief Compliance Officer
  • Scott Colangelo
    Chairman
  • Tim Hakes
    Elected Manager /
  • William McGough
    Chief Investment Officer

Staff

  • 460 employees
  • 261 in advisory functions
  • 261 state-registered reps
  • 65 broker-dealer reps
  • 178 insurance agents
  • 11 soliciting firms

Reported holdings

Prime Capital Investment Advisors’ reported 13F holdings total $10.31B across 1,087 positions, and the ten largest make up 30.2% of it.

$10.31B
Reported 13F value
1,087
Positions
30.2%
In the 10 largest
+19.3%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. iShares TR Core S&P500 ETFETF6.9%
  2. Vanguard Index Fds Total Stk MktETF3.8%
  3. iShares TR Core US Aggbd ETETF3.6%
  4. iShares TR Core MSCI EafeETF2.6%
  5. Schwab Strategic TR US Lrg Cap ETFETF2.5%
  6. iShares TR Core S&P Ttl StkETF2.4%
  7. Nvidia Corporation · Option2.2%
  8. American Centy ETF TR EmergingETF2.2%
  9. Apple Inc. · Option2.2%
  10. Bondbloxx ETF Trust Bloomberg Ten YRETF1.8%

Together, the ten largest are 30.2% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 5 August 2026

A 13F covers only exchange-traded long positions the firm holds with discretion, so this $10.31B is not its $39.14B in regulatory assets and does not represent any individual client's portfolio.

Fees

Prime Capital Investment Advisors is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees), performance-based fees and other.

Prime Capital Investment Advisors’ fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, Prime Capital Investment Advisors has 87 offices (5 private residences, listed without an address), with 83 listed addresses across 31 states.

Listed office addresses by state

Kansas · 3 listed addresses

  • 6201 College BLVD., Suite #150, Overland ParkHQ
  • 1960 Kimball Avenue - Unit #175, Manhattan
  • 801 E Douglas Avenue, Wichita

Other business names

Prime Capital Investment Advisors has reported 20 other business names to the SEC.

  • 2020 Financial Advisors
  • Bradshaw Rogers Financial Partners, Inc.
  • Burns Estate Planning & Wealth Management
  • Cornerstone Comprehensive Wealth Management
  • Crossvault Capital Management, LLC
  • Earth Equity Advisors
  • Giesting Financial
  • Liberty Wealth Advisors
  • Pier Financial Advisors
  • Prime Capital Family Office
  • Prime Capital Financial
  • Prime Capital Retirement
  • Prime Capital Tax Advisory
  • Prime Capital Wealth
  • Prime Capital Wealth Management
  • Prime Capital Wellness
  • Professional Financial Services
  • Qualified Plan Advisors
  • Stonnington Group
  • Sugarloaf Wealth Management

Registration details

Legal name
Prime Capital Investment Advisors, LLC
Headquarters
6201 College BLVD., Suite #150, Overland Park, KS 66211
Phone
800-493-6226
Website
Not reported
SEC file
801-110709
Structure
Kansas LLC
Fiscal year end
December

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does Prime Capital Investment Advisors have?

Prime Capital Investment Advisors has 23,965 clients and manages $39.1 billion for them, as of June 2026. They include 16,558 other individuals, 5,571 high-net-worth individuals and 1,378 pension and profit-sharing plans.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 June 2026

What services does Prime Capital Investment Advisors offer?

Prime Capital Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers, educational seminars and other activities.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Prime Capital Investment Advisors use?

Prime Capital Investment Advisors’ separately managed account assets are held at Fidelity Management Trust Company (Smithfield, RI), with $13,827,234,566. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 June 2026

How many financial advisors does Prime Capital Investment Advisors have?

Prime Capital Investment Advisors has 261 investment adviser representatives registered with state securities authorities, out of 460 employees, and 261 perform investment advisory functions. 65 are registered representatives of a broker-dealer and 178 are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does Prime Capital Investment Advisors invest in?

At the end of its last fiscal year, Prime Capital Investment Advisors’ separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities, 3% investment grade corporate bonds, 2% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds, 1% high-yield corporate bonds and 1% pooled vehicles (private funds and similar). It advises no private funds of its own.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Prime Capital Investment Advisors?

Prime Capital Investment Advisors’ direct owner is Pcia SPV-3, LLC (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 1 June 2026

How does Prime Capital Investment Advisors get paid?

Prime Capital Investment Advisors is paid through a percentage of assets under management, hourly charges, fixed fees, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Sources

  1. Form ADV Part 1A, amendment filed 1 June 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 288712.
  3. Form 13F-HR, filed 5 August 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with Prime Capital Investment Advisors, LLC and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.