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Douglas Lode

25 Years of Experience
Overland Park, KS
1 DisclosureSells Insurance

Douglas Lode is a registered investment advisor at Prime Capital Financial, based in Overland Park, KS, with 25 years of industry experience. Douglas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 4 more. Their firm serves 19,012 clients with $30B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
254 advisors
Number of Clients
19,012 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$30.1B

Fee Structure

Minimum Investment:$2.5K
Planning is included in investment management (also available separately)

Prime Capital Financial offers asset management services where fees typically range from 1.00% to 1.50% annually, but can range from 0.25% to 2.50% of the assets in your account. Fees are negotiable based on factors like the advisor, client type, complexity, account composition, trading activity, potential deposits, client relationship, and total assets managed. Different advisors may charge different fees for the same services. Clients also pay transaction costs. Some clients may be charged performance-based fees. A minimum investment of $100,000 is required for the Opportunistic Growth Strategy.

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Location

6201 College Blvd., Suite #150, Overland Park, KS, 66211

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History

Regulatory History (1)
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Customer Dispute
October 2023
Settled
Other Business ActivitiesSells Insurance

Douglas is an insurance agent selling fixed insurance products through Prime Capital Risk Management, dedicating a few hours per week. He is also a partner in CHHSZ Holdings LLC, which owns Prime Capital Investment Advisors, spending minimal time on this.

Employment History
Current Registrations
Prime Capital Financial
July 2017 - Present · 8 yrs 10 mos
Previous Registrations
Private Client Services, LLCBroker
April 2018 - December 2024 · 6 yrs 8 mos
Cambridge Investment Research, INC.Broker
July 2010 - April 2018 · 7 yrs 9 mos
Lawing Financial INC
September 2009 - October 2017 · 8 yrs 1 mo
The O.N. Equity Sales CompanyBroker
September 2009 - July 2010 · 10 mos
Princor Financial Services Corporation
March 2007 - September 2009 · 2 yrs 6 mos
Princor Financial Services CorporationBroker
March 2000 - September 2009 · 9 yrs 6 mos
State Registrations1 state
KS
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.
Douglas Lode - Financial Advisor | TrueAdvisor