James Patrick Marx

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

• 12/2010 → 11/2018
  Edelman Financial Services Llc
  Fairfax, VA
• 04/2016 → 10/2018
  Ef Legacy Securities, Llc
  Henrico, VA
• 10/2018 → 10/2024
  Financial Engines Advisors L.L.C.
  Sunnyvale, CA
• 10/2024 → 06/2025
  Alera Investment Advisors, Inc
  Deerfield, IL
• 08/2025 → Present
  Prime Capital Financial
  Overland Park, KS
• 06/2025 → 08/2025
  Unemployed
  White Plains, NY

Previous Registrations

• 2024-10-16 → 2025-06-11
  Alera Investment Advisors, Llc
  Rochester, NY
  Deerfield, IL
• 2018-10-12 → 2024-11-01
  Edelman Financial Engines
  White Plains, NY
  Ossining, NY
• 2011-09-13 → 2018-11-01
  Edelman Financial Services, Llc
  Fairfax, VA
  White Plains, NY
• 2004-11-30 → 2006-04-25
  Td Ameritrade Investment Management, Llc
  Bellevue, NE

Other Businesses

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 PROVIDES PREOFESSIONAL INVESTMENT ADVISORY SERVICES AS AN IAR OF PCIA, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS.

Exams

• S66 Uniform Combined State Law Examination
  2011-09-12
• S63 Uniform Securities Agent State Law Examination
  2010-09-21
• S65 Uniform Investment Adviser Law Examination
  2004-11-19

Other Names

• Jim Patrick Marx