State-registered independent wealth management RIA
Prime Financial Strategies, Inc.
As of its Form ADV filed March 24, 2026, Prime Financial Strategies, Inc., a state-registered independent wealth management RIA in Colorado Springs, Colorado, reported no regulatory assets under management.
Registration
- Main office
- Colorado Springs, CO
- Registration
- State-registered, Approved
- CRD number
- 113703
- SEC file number
- None (state-registered)
- Registered since
- January 1, 1999
- Latest Form ADV filing
- March 24, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $0
- Discretionary
- $0
- Non-discretionary
- $0
- Accounts
- 0 (0 discretionary)
- Clients
- 222, approximate as reported
- Employees
- 5
- Advisory staff
- 2 performing investment advisory functions
- Average account
- Not reported
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. 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 independent wealth management RIAs.
| Ranking | Nationally | In Colorado | Value |
|---|---|---|---|
| Independent RIAs with the most clients | #5,098 | #143 | 222 |
| Independent RIAs with the most advisory staff | #6,488 | #194 | 2 |
| Independent RIAs with the most high net worth clients | #3,856 | #108 | 80 |
| Independent RIAs with the most CFP professionals | #3,524 | #115 | 1 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $0 |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 137 clients | $0 | |
| High net worth individuals 80 clients | $0 | |
| Pension and profit sharing plans 5 clients | $0 |
How the firm is paid
- Hourly charges
- Fixed fees
- Commissions
Advisory services
- Financial planning
- Other
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: ChFC 2, CFP 1.
2 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. 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 Colorado
| Firm | City | RAUM |
|---|---|---|
| Lucid Financial Planning | Nederland | $0 |
| Genera Wealth | Erie | $0 |
| 5280 Associates | Denver | $0 |
| West Highland Advisors | Denver | $0 |
| Everoak Wealth Co | Colorado Springs | $0 |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Prime Financial Strategies, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.primefinancialstrategies.com
- Independent RIAs in Colorado
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.