Prime Capital Financial

RIASEC Registered
Total AUM
$39.1B
Discretionary
$19.6B
50% of AUM
Avg account
$707K
Accounts
55,376
Employees
460
Advisory reps
267

Firm details

Headquarters
Overland Park, Kansas
CRD number
288712
Registered since
June 23, 2017
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees, Other
Client types
  • Pension & Profit Sharing Plans45.31%
  • HNWI33.17%
  • Individuals14.92%
  • Pooled Investment Vehicles4.61%
  • Corporations / Businesses1.89%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Prime Capital Financial is an independent registered investment adviser that has been SEC-registered since 2017. The firm serves both individual/family and institutional clients and operates as a capital allocator, directing client assets into third-party funds as well as public securities. Its service set spans financial planning, discretionary portfolio management for individuals and pooled vehicles, pension consulting and manager selection, and educational workshops. The firm also acts as an insurance broker and provides accounting-related services, and it charges fees through a mix of AUM-based, hourly, fixed, performance-based, and other arrangements. Prime Capital Financial reports an active ESG investment approach and has been named to Barron’s Top 100 RIA list for 2023, 2024, and 2025.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 86%, Exchange Traded Equities 5%, Investment Grade Corp Bonds 3%, Cash & Cash Equivalents 2%, US Government Bonds 1%, State & Local Bonds 1%, Non-Investment Grade Corp Bonds 1%, Private Funds 1%86%
  • Public Funds/Mutual Funds86%
  • Exchange Traded Equities5%
  • Investment Grade Corp Bonds3%
  • Cash & Cash Equivalents2%
  • US Government Bonds1%

Owners & executives

3 of 8
  • William McGough

    William McGough

    Deputy Chief Investment OfficerCRD 5282664

  • Anthony Woodard

    Anthony Woodard

    Chief Compliance OfficerCRD 4518053

  • Ernest Burns

    Ernest Burns

    President, CEO and Financial AdvisorCRD 2433296

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Contacts

3 of 259
  • Michael Stolberg

    Michael Stolberg

    Director of TradingCRD 5678544

  • Emil Ben-david

    Emil Ben-david

    Director, Financial PlanningCRD 5723861

  • Kyle Gaines

    Kyle Gaines

    Investment Advisor RepresentativeCRD 5727280

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 562

Active vs passive

$7.6B in ETFs

Passive

79%

$6B

Active

18%

$1.6B

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$710M927,5149.40%

Location

Primary office

Overland Park, KS

Johnson

Location

Overland Park, KS

Headquartered in Overland Park, KS, anchoring the Kansas City-Overland Park-Kansas City, MO-KS metro in the Midwest.

Metro area
Kansas City-Overland Park-Kansas City, MO-KS
Region
Midwest
County
Johnson
Address
6201 College Blvd
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth