Michael Allen Smoots

Employer firm

Prime Capital Financial CRD 288712

$39.1B regulatory AUM 1,816 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → 04/2018
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 12/2015 → 10/2017
  Lawing Financial
  Overland Park, KS
• 07/2017 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS
• 08/2019 → 03/2023
  Fiduciary Investment Trusts
  Overland Park, KS

Previous Registrations

• 2019-08-16 → 2023-03-16
  Fiduciary Investment Trusts, Llc
  Overland Park, KS
• 2016-01-20 → 2017-10-13
  Lawing Financial Inc
  Overland Park, KS
• 2014-02-06 → 2015-12-05
  One Advisory Partners, Llc
  Overland Park, KS

Other Businesses

1-ATTORNEY, NON-INVESTMENT RELATED, 1725 Winne Drive, Manhattan, KS, 9/1997. NIR - 5 HR/MO - 0/TRADING. 2-BUSINESS CONSULTANT, NON-INVESTMENT RELATED, 1725 Winne Drive, Manhattan, KS. Project management for small business owners that uses financial analysis to look at cost reduction, efficiency improvement, head count and regulatory oversight. NIR - 100 HR/YR - 1/TRADING. 3-INSURANCE AGENT, NON-INVESTMENT RELATED, 6201 COLLEGE BLVD, SUITE #150 OVERLAND PARK KS 66211, 6/2017 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 5/TRADING. 4-CHHSZ HOLDINGS, LLC, INVESTMENT-RELATED, 6201 COLLEGE BLVD SUITE #150, OVERLAND PARK, KS 66211, CHHSZ HOLDINGS, LLC IS A LIMITED LIABILITY COMPANY,"LLC" FORMED IN OCTOBER, 2019 UNDER THE LAWS OF THE STATE OF DELWARE. CHHSZ HOLDINGS, LLC IS THE SOLE OWNER OF PRIME CAPITAL INVESTMENTADVISORS, LLC ("PCIA"), A FEDERALLY REGISTERED INVESTMENT ADVISER, MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADINGHOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA. 5-PCRM, LLC doing business as Prime Capital Risk Management, investment-related, 6201 College Blvd., Suite #150, Overland Park, KS 66211, fixed-insurance products, insurance agent, 12/2022, 1hrs./mo., 10 hrs., sale and service of fixed-insurance products, including through non-affiliated Insurance Marketing Organizations (IMOs) 6 - Rental Property: 22121 WEST 58TH STREET, SHAWNEEKANSAS 66226. Non-Investment related. June 2025/ 2 Hrs a month/ Co-Owner / 0 during trading hours

Exams

• S63 Uniform Securities Agent State Law Examination
  2016-01-19
• S65 Uniform Investment Adviser Law Examination
  2014-02-06

Other Names

• Mike Smoots