Jeffrey Howard Dorfman

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

• 09/2014 → 12/2017
  Ascende Wealth Advisers, Inc.
  Houston, TX
• 10/2014 → 12/2017
  Ascende, Inc.
  Houston, TX
• 12/2017 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS

Previous Registrations

• 2014-10-14 → 2017-12-15
  Ascende Wealth Advisers, Inc.
  Houston, TX
• 2011-05-25 → 2013-11-13
  Ascende Wealth Advisers, Inc.
  Houston, TX

Other Businesses

1) 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 INVESTMENT ADVISORS, LLC ("PCIA"), A FEDERALLY REGISTERED INVESTMENT ADVISER, MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-05-23

Other Names

• Jeffrey H Dorfman