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RP
CFP
RP
CFP

Richard Parry

Prime Capital Financial
37 Years of Experience
Stamford, CT
2 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Richard Parry is a CFP-designated registered investment advisor at Prime Capital Financial, based in Stamford, CT, with 37 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 23,965 clients with $39B in assets under management.

Prime Capital Financial
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
264 advisors
Number of Clients
23,965 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$39.1B

Fee Structure

Minimum Investment:$2.5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Standard asset management fees typically range between 1.00% and 1.50% annually, with a maximum of 2.50% and a minimum of 0.25%. Fees are negotiable depending on the advisor, account complexity, and total assets.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

707 Summer St., 4th Floor, Stamford, CT, 06901

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2013
Denied
Customer Dispute
January 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is an insurance agent selling life, health, disability, annuities, and long-term care insurance, dedicating minimal time to this. He is also involved with several non-profit organizations and is a member of CHHSZ Holdings, LLC, which owns Prime Capital Investment Advisors, LLC, spending minimal time on this.

Employment History
Current Registrations
Prime Capital Financial
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
Liberty Wealth Advisors, LLC
January 2022 - December 2022 · 11 mos
Liberty Wealth Advisors, LLC
July 2012 - December 2021 · 9 yrs 5 mos
Financial Network Investment Corporation
April 1996 - July 2012 · 16 yrs 3 mos
American Planning Group INC
September 1991 - December 2012 · 21 yrs 3 mos
Cetera Advisor Networks LLCBroker
January 1989 - December 2019 · 30 yrs 11 mos
State Registrations6 states
CTDEFLMAMIPA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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