Prime Capital Investment Advisors, Llc
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 288712
· SEC file 801-110709
· Overland Park, KS
· primefinancialtampa.com
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ADV data as of Jun 01, 2026
- Regulatory AUM
- $39.1B
- Discretionary
- $19.6B
- Clients
- 23,965
- Avg AUM / client
- $1.6M
- Accounts
- 55,376
- Employees
- 460
AUM over time
$0
$39.1B
May 2017
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 01, 2026
Asset allocation (SMA assets by investment type)
as of Jun 01, 2026
Registered investment companies (funds/ETFs)
$33.7B
86%
Exchange-traded equities
$2.0B
5%
Investment-grade corporate bonds
$1.2B
3%
Cash & equivalents
$783M
2%
US government & agency bonds
$391M
1%
State & local bonds
$391M
1%
Non-investment-grade bonds
$391M
1%
Pooled investment vehicles
$391M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 16,558 | $5.8B | 14.9% |
| High net worth individuals | 5,571 | $13.0B | 33.2% |
| Pooled investment vehicles (non-investment companies) | 1 | $1.8B | 4.61% |
| Pension and profit sharing plans | 1,378 | $17.7B | 45.3% |
| Charitable organizations | 75 | $43.5M | 0.11% |
| Corporations and other businesses | 382 | $739M | 1.89% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 130.
People (262)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Anthony Elliott Woodard | Chief Compliance Officer | May 2017 (9y) | Less than 5% | |
| Scott James Colangelo | Chairman | Jun 2017 (9y) | Less than 5% | |
| Tim David Hakes | Elected Manager / Vice Chairman | Jun 2017 (9y) | Less than 5% | |
| Spencer, Glenn, Avery | Chief Executive Officer | Jan 2018 (9y) | Less than 5% | |
| Dillbeck, Brian, Stephen | Chief Financial & Operations Officer | Nov 2020 (6y) | Less than 5% | |
| Scott James Duba | Chief Investment Officer | CFA | Nov 2021 (5y) | Less than 5% |
| Cummings, Michael, Cody | Elected Manager | Aug 2023 (3y) | GP / trustee / elected manager of Chhsz Holdings, Llc (indirect) | |
| Scola, James, R | Elected Manager | Aug 2023 (3y) | GP / trustee / elected manager of Chhsz Holdings, Llc (indirect) | |
| Melissa Kay Sturgis | Director Of Compliance Operations | May 2024 (2y) | Less than 5% | |
| Brad David Holdhusen | Registered representative | Jul 2017 (9y) | ||
| Brian L Burwell | Registered representative | Jul 2017 (9y) | ||
| Christopher T Roper | Registered representative | Jul 2017 (9y) | ||
| Craig P Scherzer | Registered representative | Jul 2017 (9y) | ||
| David G Miller | Registered representative | Jul 2017 (9y) | ||
| Derek Jay Mitchell | Registered representative | Jul 2017 (9y) | ||
| Douglas Jon Lode | Registered representative | Jul 2017 (9y) | ||
| Darin W Henderson | Registered representative | Jul 2017 (9y) | ||
| Eric J Krause | Registered representative | CFA | Jul 2017 (9y) | |
| Jasen Ronald Mangrum | Registered representative | Jul 2017 (9y) | ||
| Jeffrey A. Lahr | Registered representative | Jul 2017 (9y) | ||
| Joe Don Hildebrand | Registered representative | Jul 2017 (9y) | ||
| Joseph E Zdeb | Registered representative | Jul 2017 (9y) | ||
| Keller Andrew Johnson | Registered representative | Jul 2017 (9y) | ||
| Kristopher Lee Koenig | Registered representative | Jul 2017 (9y) | ||
| Michael Allen Smoots | Registered representative | Jul 2017 (9y) | ||
| Michael Thomas Stolberg | Registered representative | Jul 2017 (9y) | ||
| Steven Christopher Nelson | Registered representative | Jul 2017 (9y) | ||
| Terri Lynn Lewis | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Timothy Joseph Accurso | Registered representative | Jul 2017 (9y) | ||
| Thomas Mancuso | Registered representative | Jul 2017 (9y) | ||
| Tyler Lane Olson | Registered representative | Jul 2017 (9y) | ||
| Bryan Eric Schuenemann | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Clint N Nelson | Registered representative | CFP | Jul 2017 (9y) | |
| Judson P. Beeskau | Registered representative | CFP | Jul 2017 (9y) | |
| Matt Ward Waters | Registered representative | CFP | Jul 2017 (9y) | |
| Sean Patrick Clancy | Registered representative | Jul 2017 (9y) | ||
| William Adolph Steih | Registered representative | Jul 2017 (9y) | ||
| Brandon Todd Lee | Registered representative | CFP | Aug 2017 (9y) | |
| Jason Allen Gerber | Registered representative | CFP | Aug 2017 (9y) | |
| Jonnathan Paul Davis | Registered representative | Aug 2017 (9y) | ||
| Lisa Diane Jones | Registered representative | Aug 2017 (9y) | ||
| Mark E Kipp | Registered representative | Aug 2017 (9y) | ||
| Merlin Moody Hagan | Registered representative | Aug 2017 (9y) | ||
| Richard Rodney Laing | Registered representative | Aug 2017 (9y) | ||
| Stephen Matthew Brown | Registered representative | CFP | Aug 2017 (9y) | |
| Timothy Brennan Mccutchen | Registered representative | Aug 2017 (9y) | ||
| Stephen Barns | Registered representative | Aug 2017 (9y) | ||
| Darren Scott Watson | Registered representative | Aug 2017 (9y) | ||
| Mark Thomas Hogan | Registered representative | Aug 2017 (9y) | ||
| Bentley T Ford | Registered representative | Aug 2017 (9y) | ||
| Brandon Michael Mccormick | Registered representative | CFP | Aug 2017 (9y) | |
| Dion Lawrence Nickel | Registered representative | Aug 2017 (9y) | ||
| Taylor Kris Knopf | Registered representative | CFP | Aug 2017 (9y) | |
| Bruce Walter Beyer | Registered representative | Aug 2017 (9y) | ||
| Steven Joseph Vander Velde | Registered representative | Aug 2017 (9y) | ||
| Scott W Liggett | Registered representative | Aug 2017 (9y) | ||
| Micah Daniel Schmidt | Registered representative | Sep 2017 (9y) | ||
| Sarah Ann Blackshear | Registered representative | Sep 2017 (9y) | ||
| Marco Macy Melero | Registered representative | Sep 2017 (9y) | ||
| Jeffrey Howard Dorfman | Registered representative | Dec 2017 (9y) | ||
| Rich Randal Eagar | Registered representative | Dec 2017 (9y) | ||
| Robert Arthur Massa | Registered representative | Chartered Financial Consultant | Dec 2017 (9y) | |
| John M Burke | Registered representative | Jan 2018 (9y) | ||
| Kartik Sai Jambulapati | Registered representative | Feb 2018 (8y) | ||
| Geoffrey Allen Mettler | Registered representative | Apr 2018 (8y) | ||
| Colt A Ryan | Registered representative | CFP | Aug 2018 (8y) | |
| Thorn Michael Murphy | Registered representative | Aug 2018 (8y) | ||
| Wyatt Schrepfer | Registered representative | Sep 2018 (8y) | ||
| Alec Daniel Giesting | Registered representative | CFP | Oct 2018 (8y) | |
| James Christopher Hirst | Registered representative | Oct 2018 (8y) | ||
| George N Maniatis | Registered representative | Oct 2018 (8y) | ||
| Richard Brooks Barkley | Registered representative | Nov 2018 (8y) | ||
| Richard Patrick Gleason | Registered representative | Nov 2018 (8y) | ||
| Richard Norman Murray | Registered representative | Nov 2018 (8y) | ||
| Tina Maria Lamb | Registered representative | Apr 2019 (7y) | ||
| Benjamin Tyler West | Registered representative | CFP | Apr 2019 (7y) | |
| Donald Lloyd Williams | Registered representative | Apr 2019 (7y) | ||
| Eric Maxwell Shoenfeld | Registered representative | Apr 2019 (7y) | ||
| Stephen Joseph Cicali | Registered representative | May 2019 (7y) | ||
| Joseph M Zdeb | Registered representative | May 2019 (7y) | ||
| Autumn Lynne Maack | Registered representative | May 2019 (7y) | ||
| Christian K Conner | Registered representative | Jun 2019 (7y) | ||
| Terry Alan Conner | Registered representative | CFP | Jun 2019 (7y) | |
| Wendy Dean Perrin | Registered representative | Jun 2019 (7y) | ||
| Richard Schaben Ditter | Registered representative | Jul 2019 (7y) | ||
| Travis Mays | Registered representative | Jan 2020 (7y) | ||
| Joseph Harrish | Registered representative | Feb 2020 (6y) | ||
| Matthew Grant Swatek | Registered representative | Mar 2020 (6y) | ||
| Ethan Dane Workman | Registered representative | Mar 2020 (6y) | ||
| Andrew Merchant | Registered representative | Mar 2020 (6y) | ||
| Matthew Peterson | Registered representative | Apr 2020 (6y) | ||
| Christian Walter | Registered representative | Jun 2020 (6y) | ||
| Clayton Allison | Registered representative | Aug 2020 (6y) | ||
| Christian Chalabi | Registered representative | Sep 2020 (6y) | ||
| Angela Lynn Cothren | Registered representative | Oct 2020 (6y) | ||
| Emily Katherine Hopkins | Registered representative | Oct 2020 (6y) | ||
| Pierson James Mc Atee | Registered representative | Nov 2020 (6y) | ||
| Charles A Smith | Registered representative | Dec 2020 (6y) | ||
| Teddy William Awuah | Registered representative | Jan 2021 (6y) | ||
| Donald James Paul | Registered representative | Apr 2021 (5y) | ||
| Keith Dandridge Lea | Registered representative | Apr 2021 (5y) | ||
| Collin Edward Gimlin | Registered representative | CFP | Apr 2021 (5y) | |
| Will Francis Orourke | Registered representative | May 2021 (5y) | ||
| John Seibolt | Registered representative | May 2021 (5y) | ||
| Tucker Jay Payne | Registered representative | Aug 2021 (5y) | ||
| Payton Travis Thielmann | Registered representative | Sep 2021 (5y) | ||
| Cade William Green | Registered representative | Oct 2021 (5y) | ||
| Heath Hagan | Registered representative | Oct 2021 (5y) | ||
| Ashlea Kay Jones | Registered representative | Oct 2021 (5y) | ||
| Kathleen Rose Randall | Registered representative | Nov 2021 (5y) | ||
| Michael James Del Re | Registered representative | Chartered Financial Consultant | Dec 2021 (5y) | |
| John R Bastarache | Registered representative | Jan 2022 (5y) | ||
| Elmer Robert Branch | Registered representative | CFP Chartered Financial Consultant | Mar 2022 (4y) | |
| Karin Lynn Tyson | Registered representative | CFP Chartered Financial Consultant | Mar 2022 (4y) | |
| Samir Chunilal Thakkar | Registered representative | CFP | Mar 2022 (4y) | |
| Tom Raymond Gibbings | Registered representative | Mar 2022 (4y) | ||
| William Patrick Carey | Registered representative | Mar 2022 (4y) | ||
| Garth James Lurvey | Registered representative | CFP | Mar 2022 (4y) | |
| Andrew Christopher Moenter | Registered representative | CFP Chartered Financial Consultant | Mar 2022 (4y) | |
| Fakhr S Alavi | Registered representative | Apr 2022 (4y) | ||
| Larry Wayne Palmer | Registered representative | CFP | Apr 2022 (4y) | |
| Leonard Richard Simpson | Registered representative | Apr 2022 (4y) | ||
| Mary Jeannette Lucas | Registered representative | Apr 2022 (4y) | ||
| Howard James Buck | Registered representative | Apr 2022 (4y) | ||
| Jeremiah Daniel Pangan | Registered representative | Apr 2022 (4y) | ||
| Wendy Susan Prestwood | Registered representative | May 2022 (4y) | ||
| Grant Avery Spencer | Registered representative | Jun 2022 (4y) | ||
| Marilou Moursund | Registered representative | CFA | Jul 2022 (4y) | |
| Sarah Calvert Doerr | Registered representative | Jul 2022 (4y) | ||
| Laura Lee Ehrenberg Chesler | Registered representative | Jul 2022 (4y) | ||
| Ashley Renea Terrell | Registered representative | Jul 2022 (4y) | ||
| Christian Paul Martin Clausen | Registered representative | CFP | Jul 2022 (4y) | |
| Gerrod Gerard Galliano | Registered representative | Jul 2022 (4y) | ||
| Christopher Logan Burns | Registered representative | Jul 2022 (4y) | ||
| Alex Russell Astin | Registered representative | Jul 2022 (4y) | ||
| Ernest Mcdougal Burns | Registered representative | Jul 2022 (4y) | ||
| Jon Scott Gwatney | Registered representative | Jul 2022 (4y) | ||
| Taylor James Yaw | Registered representative | Nov 2022 (4y) | ||
| Annette Arlene Vanderlinde | Registered representative | Dec 2022 (4y) | ||
| Ashley Ellen Hines Scott | Registered representative | CFP | Dec 2022 (4y) | |
| Dawn Elizabeth Clingan | Registered representative | CFP | Dec 2022 (4y) | |
| Jennifer Chin Flaherty | Registered representative | CFP | Dec 2022 (4y) | |
| Kameron Jay Carlson | Registered representative | CFP | Dec 2022 (4y) | |
| Nancy Ann Carlson | Registered representative | CFP | Dec 2022 (4y) | |
| Richard Michael Parry | Registered representative | CFP | Dec 2022 (4y) | |
| Neill Currie Yelverton | Registered representative | Jan 2023 (4y) | ||
| Peter William Krull | Registered representative | Jan 2023 (4y) | ||
| Nicholas Henry Stonnington | Registered representative | Jan 2023 (4y) | ||
| Nicholas Henry Stonnington | Registered representative | CFP | Jan 2023 (4y) | |
| Richard Patrick Meagher | Registered representative | CFP CFA | Jan 2023 (4y) | |
| George William Pikounis | Registered representative | CFP | Jan 2023 (4y) | |
| Deanne Marie Palmer | Registered representative | CFP | Jan 2023 (4y) | |
| Christopher Kendall Abts | Registered representative | Mar 2023 (3y) | ||
| William Thomas Mcgough | Registered representative | CFA | Apr 2023 (3y) | |
| Logan Nathaniel Soll | Registered representative | CFP | Apr 2023 (3y) | |
| William Dale Kelly | Registered representative | Apr 2023 (3y) | ||
| Steven Tyler Mc Brayer | Registered representative | Sep 2023 (3y) | ||
| Amanda Pilkerton | Registered representative | CFP | Sep 2023 (3y) | |
| Joanne H Nguyen | Registered representative | Sep 2023 (3y) | ||
| Alan Thomas Mcclain | Registered representative | Sep 2023 (3y) | ||
| Stanley Dyl | Registered representative | Sep 2023 (3y) | ||
| Caroline Marie Girgis | Registered representative | Sep 2023 (3y) | ||
| Dwayne Laverne Grady | Registered representative | Sep 2023 (3y) | ||
| Mark Ulicny | Registered representative | CFP | Sep 2023 (3y) | |
| Eric Herzog | Registered representative | CFP | Oct 2023 (3y) | |
| Michael Scott Duncan | Registered representative | Oct 2023 (3y) | ||
| Paul Jarvis | Registered representative | CFP | Oct 2023 (3y) | |
| Sean David Thompson | Registered representative | Nov 2023 (3y) | ||
| Finley A Robinson | Registered representative | Nov 2023 (3y) | ||
| James May | Registered representative | Nov 2023 (3y) | ||
| Nathan Joseph Schwab | Registered representative | Nov 2023 (3y) | ||
| Jennifer Lynn Guerrero | Registered representative | Jan 2024 (3y) | ||
| Ryan Shannon | Registered representative | Jan 2024 (3y) | ||
| Scott Joseph Szymula | Registered representative | Jan 2024 (3y) | ||
| Tim James Dowden | Registered representative | CFP | Jan 2024 (3y) | |
| Clark Gage Kemsley | Registered representative | CFP | Feb 2024 (2y) | |
| Jennifer Roniet Staben | Registered representative | Feb 2024 (2y) | ||
| Coleton Lindor Nelson | Registered representative | Mar 2024 (2y) | ||
| Timothy Joel Dahlberg | Registered representative | Mar 2024 (2y) | ||
| Conor Randal Kelly | Registered representative | CFP | Mar 2024 (2y) | |
| Marco Antonio Osorio | Registered representative | Apr 2024 (2y) | ||
| Hudson Michael Gray | Registered representative | Apr 2024 (2y) | ||
| Danielle Nicole Riemann | Registered representative | Apr 2024 (2y) | ||
| Ariel Saul Rosero Quinteros | Registered representative | May 2024 (2y) | ||
| Manuel Roberto Gonzalez Teran | Registered representative | CFP | Jun 2024 (2y) | |
| John Huber | Registered representative | Jun 2024 (2y) | ||
| Aaron J Stockmann | Registered representative | Jul 2024 (2y) | ||
| Erin Jean Kiesow | Registered representative | Jul 2024 (2y) | ||
| Tanner Little | Registered representative | CFP | Jul 2024 (2y) | |
| Stacey L Robinson | Registered representative | Jul 2024 (2y) | ||
| Felix Jonathan Kwan | Registered representative | CFP | Aug 2024 (2y) | |
| Kaden Michael Wren | Registered representative | Aug 2024 (2y) | ||
| Daniel Tsai | Registered representative | CFP | Aug 2024 (2y) | |
| Benjamin Jack Sight | Registered representative | CFP | Sep 2024 (2y) | |
| Josh Douglas Hederick | Registered representative | Sep 2024 (2y) | ||
| Terry M Levenberg | Registered representative | CFP | Oct 2024 (2y) | |
| Thomas Gustav Mellum | Registered representative | Oct 2024 (2y) | ||
| Jania Elaine Stout | Registered representative | Nov 2024 (2y) | ||
| Andrew Nelesoni Selu | Registered representative | Nov 2024 (2y) | ||
| Jared Hendrik Copinga | Registered representative | Nov 2024 (2y) | ||
| Stuart Edward Berrin | Registered representative | Dec 2024 (2y) | ||
| John M Cervantes | Registered representative | CFA | Jan 2025 (2y) | |
| Mc Kynzie Deann Bolton | Registered representative | Jan 2025 (2y) | ||
| Connee Berckart Sullivan | Registered representative | Feb 2025 (1y) | ||
| Kevin Andrew Kaylakie | Registered representative | CFP | Mar 2025 (1y) | |
| Nash Taylor Holm | Registered representative | Mar 2025 (1y) | ||
| Adam Chapman Wilson | Registered representative | CFP | Mar 2025 (1y) | |
| Emory Linder | Registered representative | CFP | Mar 2025 (1y) | |
| Eric Boyd Philips | Registered representative | CFP | Mar 2025 (1y) | |
| Jason Thomas Connolly | Registered representative | Mar 2025 (1y) | ||
| Nicholas Austin Schuessler | Registered representative | CFP | Mar 2025 (1y) | |
| Taylor Snell Manry | Registered representative | CFP | Mar 2025 (1y) | |
| Christopher Martin Kohne | Registered representative | CFP | Mar 2025 (1y) | |
| Kyle Charles Gaines | Registered representative | CFP | Mar 2025 (1y) | |
| Preston Mark Henry | Registered representative | CFP | Mar 2025 (1y) | |
| Dyson James Dechant | Registered representative | Mar 2025 (1y) | ||
| John Ross Donnes | Registered representative | Apr 2025 (1y) | ||
| Debora Marie Stranman | Registered representative | Apr 2025 (1y) | ||
| Heidi Wade | Registered representative | Apr 2025 (1y) | ||
| John James O Brien | Registered representative | Jun 2025 (1y) | ||
| Jeffrey Albert Johnson | Registered representative | CFA | Jun 2025 (1y) | |
| Brandon Lee Van Goethen | Registered representative | Aug 2025 (1y) | ||
| James Patrick Marx | Registered representative | Aug 2025 (1y) | ||
| Christopher David Coppolo | Registered representative | Aug 2025 (1y) | ||
| Joshua C Zdeb | Registered representative | Aug 2025 (1y) | ||
| Edmund Michael Callahan | Registered representative | CFP | Aug 2025 (1y) | |
| Alfonso Burgos | Registered representative | Aug 2025 (1y) | ||
| Joanna Lynn Cecilia Fleming | Registered representative | CFP | Sep 2025 (1y) | |
| Drew James Meecham | Registered representative | Oct 2025 (1y) | ||
| Thomas Gerhard Greuling | Registered representative | Oct 2025 (1y) | ||
| Brett Harrison Newell | Registered representative | CFA | Nov 2025 (1y) | |
| Nicholas Kenji Noguchi | Registered representative | Nov 2025 (1y) | ||
| Jack Wiliam Souder | Registered representative | Nov 2025 (1y) | ||
| Sophia Margaret Slomkowski | Registered representative | Dec 2025 (1y) | ||
| Morgan Elisabeth Davidson | Registered representative | Dec 2025 (1y) | ||
| Angela Dawn Shelton | Registered representative | Dec 2025 (1y) | ||
| Eric Thomas Pailing | Registered representative | Dec 2025 (1y) | ||
| John Pershing Sayers | Registered representative | CFP | Dec 2025 (1y) | |
| Stuart Bernstein | Registered representative | Dec 2025 (1y) | ||
| Brandon Michael Rogers | Registered representative | CFP | Jan 2026 (1y) | |
| Carlyle Prescott Sherrill | Registered representative | Jan 2026 (1y) | ||
| Mallory Armijo | Registered representative | Jan 2026 (1y) | ||
| Alexander Frederick Mc Clain | Registered representative | Feb 2026 (0y) | ||
| Amanda Rose Salyer | Registered representative | CFP | Feb 2026 (0y) | |
| Dillon Bradley Wilhite | Registered representative | Feb 2026 (0y) | ||
| Joan N Greenspon | Registered representative | CFP | Feb 2026 (0y) | |
| Shateela Monique Winters | Registered representative | CFP Chartered Financial Consultant | Feb 2026 (0y) | |
| James Lamar Hudgins | Registered representative | Feb 2026 (0y) | ||
| Avery Lynn Burwell | Registered representative | Feb 2026 (0y) | ||
| Sonali Mahendra Patel | Registered representative | Mar 2026 (0y) | ||
| Norman Trent Bradshaw | Registered representative | CFP | Mar 2026 (0y) | |
| Braxton Alan Mills | Registered representative | Apr 2026 (0y) | ||
| Christy Jo Drake Dodge | Registered representative | Apr 2026 (0y) | ||
| Shane Christopher Miller | Registered representative | CFP | Apr 2026 (0y) | |
| Jordan Scott Pedeaux | Registered representative | May 2026 (0y) | ||
| Brendan John Kenny | Registered representative | CFP | May 2026 (0y) | |
| Danielle Ballard | Registered representative | May 2026 (0y) | ||
| Lindsey Ann Kemsley | Registered representative | May 2026 (0y) | ||
| Brayden Thomas Elmer | Registered representative | May 2026 (0y) | ||
| Sean Randall Spencer | Registered representative | Jun 2026 (0y) | ||
| Kane Joseph Harrish | Registered representative | Jul 2026 (0y) | ||
| Alyssa S Marin | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pcia Spv 3, Llc | Sole Member | Aug 2023 | A | 75% or more |
| Pcia Spv 2, Llc | Sole Member | Aug 2023 | B | ≈ 56.25% – 100% via Pcia Spv 3, Llc |
| Pcia Spv 1, Llc | Sole Member | Aug 2023 | B | ≈ 42.19% – 100% via Pcia Spv 2, Llc |
| Chhsz Holdings, Llc | Sole Member | Aug 2023 | B | ≈ 31.64% – 100% via Pcia Spv 1, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Pcia Spv 2, Llc: 75% – 100% of Pcia Spv 3, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Pcia Spv 1, Llc: 75% – 100% of Pcia Spv 2, Llc × 75% – 100% of Pcia Spv 3, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Chhsz Holdings, Llc: 75% – 100% of Pcia Spv 1, Llc × 75% – 100% of Pcia Spv 2, Llc × 75% – 100% of Pcia Spv 3, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Canoo Inc. 401(k) Plan | Canoo Technologies Inc. | 0 | $0 | 01/01/2025 |
| Currey Ingram Academy Retirement Plan | Currey Ingram Academy | 246 | $13.8M | 08/01/2024 |
| Rainbow Of Challenges, Inc. Retirement Plan | Rainbow Of Challenges, Inc. | 368 | $4.0M | 07/01/2024 |
| Community Blood Center Of The Ozarks, Inc. 401(k) Profit Sharing Plan | Community Blood Center Of The Ozarks, Inc. | 148 | $9.2M | 07/01/2024 |
| Counseling Clinic, Inc. 401(k) Plan | Counseling Clinic, Inc. | 115 | $7.9M | 07/01/2024 |
| Our Home, Inc. 401(k) Profit Sharing Plan | Our Home, Inc. | 123 | $5.5M | 07/01/2024 |
| Aluma Weld, Inc. 401(k) Profit Sharing Plan And Trust | Aluma Weld, Inc. Dba Xpress Boats | 278 | $14.3M | 06/01/2024 |
| Chicot Memorial Medical Center 401(k) Profit Sharing Plan | Chicot Memorial Medical Center | 149 | $4.4M | 04/01/2024 |
| Med James, Inc. Retirement Savings Profit Sharing Plan | Med James, Inc. | 128 | $11.8M | 01/01/2024 |
| Hawkins Construction Company Employee Pension Benefit Plan | Hawkins Construction Company | 243 | $32.6M | 01/01/2024 |
| The Leavitt Group Profit Sharing And Retirement Savings Employee Stock Ownership Plan | Leavitt Group Enterprises, Inc. | 2,895 | $244M | 01/01/2024 |
| Pasco Scientific Employee 401(k) Savings Plan | Pasco Scientific | 103 | $37.6M | 01/01/2024 |
| Kessinger Hunter Management Company, Inc. 401(k) Plan | Kessinger Hunter Management Company, Inc. | 127 | $9.8M | 01/01/2024 |
| Fujitec America Employees Retirement Plan | Fujitec America Inc. | 203 | $29.5M | 01/01/2024 |
| Catholic Charities Fort Worth 403 B Plan | Catholic Charities Diocese Of Fort Worth Incorporated | 393 | $14.1M | 01/01/2024 |
| First State Holding Co. 401(k) Retirement Plan | First State Holding Co. | 141 | $16.4M | 01/01/2024 |
| Mcpherson Hospital Inc. Tax Deferred Annuity Plan | Mcpherson Hospital Inc. | 407 | $15.9M | 01/01/2024 |
| Yokogawa Corporation Of America Pension Plan | Yokogawa Corporation Of America | 0 | $1.2M | 01/01/2024 |
| Fill Your Cup 401(k) Investment Plan | Westrock Beverage Solutions, Llc. | 998 | $61.5M | 01/01/2024 |
| Select Water Solutions, Inc. 401(k) Plan | Select Water Solutions, Inc. | 4,127 | $126M | 01/01/2024 |
| Team Industries 401(k) Plan | Team Industries Holding Corporation | 951 | $102M | 01/01/2024 |
| Athens Insurance Service, Inc 401(k) Plan | Athens Insurance Service, Inc. | 552 | $48.6M | 01/01/2024 |
| Tenaska Retirement Plan | Tenaska, Inc | 818 | $390M | 01/01/2024 |
| New Palace Casino 401(k) Plan | New Palace Casino, Llc | 961 | $19.4M | 01/01/2024 |
| Yokogawa Usa, Inc. Wealth Builder | Yokogawa Usa, Inc. | 731 | $191M | 01/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/01/2026 | 1.61 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
- • Other fees
- • SEMINAR FEES, PROMOTER FEES, SUBSCRIPTION FEE FINANCIAL PLANS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Fidelity Management Trust Company $13.8B (35% of AUM) Jun 2026
- Charles Schwab & Co. $3.7B (15% of AUM) Feb 2025
- Fidelity Brokerage Services $2.7B (28% of AUM) Feb 2019
- T Rowe Price Trust Company $898M (7% of AUM) Mar 2022
- Pershing $719M (9% of AUM) Aug 2018
- Great West Trust Company, Llc $647M (8% of AUM) May 2019
- Reliance Trust Company $296M (8% of AUM) Mar 2018
- Prudential Investment Management Services Llc $243M (7% of AUM) Mar 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 01, 2026.
View current Form ADV (SEC/IAPD) ↗