Tim David Hakes

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

• 07/2010 → 04/2018
  Cambridge Investment Research, Inc
  Fairfield, IA
• 08/2003 → 10/2017
  Lawing Financial, Inc.
  Overland Park, KS
• 05/2017 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS
• 04/2018 → Present
  Private Client Services
  Louisville, KY
• 06/2017 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS
• 11/1997 → 10/2017
  Lawing Financial, Inc.
  Overland Park, KS

Previous Registrations

• 2018-07-20 → 2023-04-21
  Fiduciary Investment Trusts, Llc
  Overland Park, KS
• 2003-05-27 → 2017-12-05
  Lawing Financial Inc
  Overland Park, KS
  Overland Park, KS
  Overland Park, KS
• 2003-12-16 → 2006-12-31
  Mason James Asset Management, Inc.
  Overland Park , KS

Other Businesses

1) PRIME CAPITAL INVESTMENT ADVISORS, LLC. 6201 COLLEGE BLVD, SUITE #150, OVERLAND PARK, KS 66211. IAR-SALE/SERVICE OF FEE BASED ASSET MANAGEMENT. 100 HOURS/MO; 80 DURING TRADING HOURS. 2) PRIME CAPITAL HOLDINGS, LP HAS CHANGED IT'S NAME TO CHHSZ HOLDINGS, LLC. DUE TO A CHANGE IN OWNERSHIP, THE ABOVE REFERENCED CHANGE HAS BEEN MADE EFFECTIVE 10/01/19. 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"), VICE CHAIR / MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA. 3) 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, 02/2021, 10 hrs./mo. < 10 hrs. during trading hours sale and service of fixed-insurance products, including through non-affiliated Insurance Marketing Organizations (IMOs). 4) SI Incorporated. 9082 Bond Street, Overland Park, KS 66214. Automation system for manufacturing facilities. Passive investor, no duties. 0 hrs/mo 5) CHHSZ HOLDINGS, LLC, INVESTMENT RELATED, 6201 COLLEGE BLVD STE#150 OVERLAND PARK KS 66211, PARTNER, 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 REGISTERED INVESTMENT ADVISOR. MEMBER PROVIDES ADVISORY SERVICES AS AN IRA OF PCIA, <1 HR /MONTH, <1 HR / MONTH DURING TRADING 6) MAVERICK INVESTORS LLC. 6201 COLLEGE BLVD, STE 150, OVERLAND PARK, KS 66211. ENEITY WAS FORMED TO INVEST INTO CANTEEN SPIRITS LLC. MEMBER OF LLC. COMMUNICATE WITH EXECUTIVE AT CANTEEN AND ADVISE THEM ON GENERAL BUSINESS ACTIVITIES, MARKETING, FORECASTING. 25 HRS/MO; 15 DURING TRADING HRS

Exams

• S66 Uniform Combined State Law Examination
  2000-05-25
• S63 Uniform Securities Agent State Law Examination
  1994-07-29

Other Names

• Tim Hakes
• Timothy David Hakes