AdvisorCensus / Financial advisors / Kansas / Topeka / Proactive Capital Management, Inc.
Proactive Capital Management, Inc. is an SEC-registered investment advisory firm in Topeka, KS, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 22, 2026.
Quick answers
From the filingHow is Proactive Capital Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Proactive Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Proactive Capital Management, Inc. located?
Proactive Capital Management, Inc.'s principal office is in Topeka, KS, according to its Form ADV.
Is Proactive Capital Management, Inc. registered with the SEC or a state?
Proactive Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 297791.
How much does Proactive Capital Management, Inc. manage?
Proactive Capital Management, Inc. reports $170,661,346 in regulatory assets under management in its Form ADV filing dated January 22, 2026 (85% discretionary).
How have Proactive Capital Management, Inc.'s assets and staff changed since 2023?
In the Form ADV data for Proactive Capital Management, Inc.: Regulatory assets under management: $124,419,430 in the October 2023 data and $170,661,346 in the October 2026 data, up 37%. Total employees: 4 in October 2023 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Proactive Capital Management, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (220); high net worth individuals (41); pension and profit sharing plans (but not the plan participants or government pension plans) (5).
Which custodians does Proactive Capital Management, Inc. use?
Proactive Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and TIAA-CREF Individual & Institutional Services, LLC as custodians holding 10% or more of its separately managed account assets.
Does Proactive Capital Management, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/297791
Does Proactive Capital Management, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated January 22, 2026 says: "PCM typically requires a minimum of $250,000 to open an account. In certain instances, the minimum account size may be lowered or waived."
What changed in Proactive Capital Management, Inc.'s recent Form ADV filings?
In the February 2026 filing data: Regulatory assets under management went from $151,549,748 to $170,661,346 (+13%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $250,000 (the brochure says it may be waived or negotiated)
The brochure's wording
PCM typically requires a minimum of $250,000 to open an account. In certain instances, the minimum account size may be lowered or waived.
As stated in the firm's Form ADV Part 2A brochure dated January 22, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$170,661,346 as of October 2026, filing dated January 22, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2023 (3 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $170,661,346 | 3 | January 22, 2026 |
| October 2025 | $151,549,748 | 3 | January 24, 2025 |
| October 2024 | $143,707,186 | 4 | September 18, 2024 |
| October 2023 | $124,419,430 | 4 | June 21, 2023 |
Regulatory assets under management: $124,419,430 in the October 2023 data and $170,661,346 in the October 2026 data, up 37%.
Total employees: 4 in October 2023 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- February 2026
- Regulatory assets under management went from $151,549,748 to $170,661,346 (+13%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Proactive Capital Management, Inc. (CRD 297791): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/proactive-capital-management-inc-topeka-ks-297791