SEC-registered wealth management firm Broker-dealer affiliated
Park Place Capital Corporation
As of its Form ADV filed March 13, 2026, Park Place Capital Corporation, an SEC-registered, broker-dealer affiliated wealth management firm in Homewood, Alabama, reported $879.2 million in regulatory assets under management across 609 accounts, ranking #15 among all wealth firms in Alabama by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 107952
- SEC file number
- 801-32593
- Registered since
- September 2, 1988
- Latest Form ADV filing
- March 13, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 4
Key figures
- Regulatory assets under management
- $879.2 million
- Discretionary
- $865.4 million (98.4%)
- Non-discretionary
- $13.9 million
- Accounts
- 609 (585 discretionary)
- Clients
- 610, approximate as reported
- Employees
- 20
- Advisory staff
- 7 performing investment advisory functions
- Average account
- $1.4 million
- Asset growth, 1 year
- 21.4% (from $724.0 million a year earlier)
- Asset growth, 3-year annual rate
- 1.0% (from $854.4 million three years earlier)
- Asset growth, 5-year annual rate
- 66.1% (from $69.6 million five years earlier)
- Client growth, 1 year
- 46.6% (from 416)
Broker-dealer affiliated. The firm is affiliated with a bank (Item 7.A(8)) that is part of a group with a broker-dealer (Item 7.A(1)) or controlled by a public company (Schedule D, Item 10.A). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $121.1 million |
| October 3, 2011 | $96.7 million |
| October 1, 2012 | $94.4 million |
| October 1, 2013 | $100.2 million |
| October 1, 2014 | $119.7 million |
| October 1, 2015 | $126.0 million |
| October 3, 2016 | $121.9 million |
| October 2, 2017 | $128.8 million |
| October 1, 2018 | $133.0 million |
| October 1, 2019 | $114.3 million |
| October 1, 2020 | $103.5 million |
| October 4, 2021 | $69.6 million |
| October 3, 2022 | $587.3 million |
| October 5, 2023 | $854.4 million |
| October 1, 2024 | $602.1 million |
| September 2, 2025 | $724.0 million |
| October 2, 2026 | $879.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Banking or thrift institutions fewer than 5 clients | $325.5 million | |
| High net worth individuals 36 clients | $229.3 million | |
| Individuals (other than high net worth) 571 clients | $211.4 million | |
| Investment companies 1 client | $67.0 million | |
| Corporations or other businesses fewer than 5 clients | $46.0 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Registered representative of a broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Banking or thrift institution
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 7
- Also registered through a broker-dealer
- 1
- Employees who are IARs (Form ADV 5.B(3))
- 7
Designations held by the firm's IARs: CFA 3, CFP 2.
Between 5 and 7 of the firm's 7 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Alabama
| Firm | City | RAUM |
|---|---|---|
| Oakworth Asset Management, LLC | Birmingham | $846.3 million |
| Sunburst Financial Group, LLC | Vestavia Hills | $808.1 million |
| Mayfair Advisory Group, LLC | Birmingham | $806.4 million |
| BHK Investment Advisors | Birmingham | $794.1 million |
| Meld Financial, Inc. | Birmingham | $776.4 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Park Place Capital Corporation on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.parkplacecapital.com
- Wealth management firms in Alabama
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.