Scott James Duba

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

• 07/2018 → 11/2021
  Antora Peak Capital Mgmt
  Mission Woods, KS
• 11/2021 → 01/2026
  Prime Capital Investment Advisors
  Overland Park, KS
• 11/2020 → 11/2021
  Mariner Wealth Advisors
  Mission Woods, KS
• 01/2026 → Present
  Prime Capital Financial
  Overland Park, KS
• 01/2025 → 01/2026
  Prime Capital Financial
  Overland Park, KS
• 02/2021 → Present
  425 Holdings Llc
  Kansas City, MO
• 06/2014 → 07/2018
  Artisan Partners
  Mission Woods, KS

Previous Registrations

• 2012-09-10 → 2014-06-03
  Neuberger Berman Bd Llc
  Chicago, IL

Other Businesses

1) 425 Holdings, LLC, non investment related, 801 W 53rd St, Kansas City, MO 64112, provides strategic consulting services, Managing Member, 11/29/2021, <40 hours per month, <10 hours per month during trading, As managing member, lead efforts to provide strategic consulting services and investments into private/public ventures. 2) 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 Delaware. CHHSZ Holdings, LLC is the sole owner of Prime Capital Investment Advisors, LLC ("PCIA"), a federally registered investment adviser, Member, <1 hr per month, <1 hr per month during trading hours, Member provides professional (investment advisory) services as President of Prime Capital Financial. 3) SJE Enterprises, LLC; not investment-related; LLC reviews business opportunities, start date Feb 10, 2026; number of hours per month; 10; number of hours per month during trading hours: 0.

Exams

• S63 Uniform Securities Agent State Law Examination
  2012-09-28

Designations

• Chartered Financial Analyst