Prime Capital Equities LLC

Prime Capital Equities LLC provides ongoing portfolio management to individuals (including high‑net‑worth clients), charitable organizations, and sponsors of defined contribution and defined benefit retirement plans. The firm documents each client’s situation in an Investment Policy Statement, commonly seeks discretionary trading authority for managed accounts, and also offers ERISA‑related services such as participant education and plan monitoring support.

The firm’s investment process blends fundamental and technical analysis and uses both long‑term and short‑term trading, with portfolios primarily composed of mutual funds, equities, bonds, ETFs, REITs, and government securities. Non‑ERISA client accounts are typically managed on a discretionary basis with at least quarterly reviews, while ERISA plan work may be handled non‑discretionarily or delegated to third‑party 3(38) managers.

Distinctive features for a firm of this size include an explicit focus on plan‑sponsor services and formal referral relationships with ERISA 3(38) managers (including a licensing arrangement tied to a Dimensional affiliate). The firm requires use of its recommended custodian (Schwab Institutional), aggregates block trades across client accounts, and documents client‑imposed investment restrictions in the IPS — operational choices that affect trade execution and oversight.