PROSPECT CAPITAL ADVISORS, LLC
Adviser information for PROSPECT CAPITAL ADVISORS, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $439.7M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $439.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $439.7M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
501 HUMBOLDT AVENUE, 2ND FLOORSAUSALITO
CA
United States
Monday - Friday, 8:00 AM TO 1:00 PM
Tel: (415) 331-3590, Fax: None
Chief Compliance Officer
KEITH WILLIAMS
501 HUMBOLDT AVENUE
2ND FLOOR
SAUSALITO
CA
United States
Tel:
415-331-3591
K****@**********************M
(Full email address available in API data)
Regulatory Contact
DANIEL W. MENDOZA
MANAGING MEMBER
501 HUMBOLDT AVENUE, 2ND FLOOR
SAUSALITO
CA
United States
Tel:
415-331-3590
D**@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PROSPECT ADVISORS QP, L.P. | Hedge Fund | $337.5M | $1.0M | 61 |
| PROSPECT ADVISORS, L.P. | Hedge Fund | $75.5M | $0.5M | 40 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Williams, Keith | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| MENDOZA, DANIEL, WILLIAM | Individual | – | MANAGING MEMBER | 10/2000 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMERICAN TOWER CORP NEW | COM | 13M | 67K | – |
| AMERICAN TOWER CORP NEW | COM | 222K | 1K | – |
| ARLO TECHNOLOGIES INC | COM | 11M | 830K | – |
| ARLO TECHNOLOGIES INC | COM | 336K | 26K | – |
| BLUE BIRD CORP | COM | 18M | 335K | – |
| BLUE BIRD CORP | COM | 557K | 10K | – |
| CELESTICA INC | COM | 3M | 50K | – |
| CELESTICA INC | COM | 86K | 2K | – |
| ENCORE CAP GROUP INC | COM | 5M | 113K | – |
| ENCORE CAP GROUP INC | COM | 146K | 4K | – |
| ENOVA INTL INC | COM | 7M | 120K | – |
| ENOVA INTL INC | COM | 221K | 4K | – |
| FEDERAL SIGNAL CORP | COM | 10M | 125K | – |
| FEDERAL SIGNAL CORP | COM | 317K | 4K | – |
| FIVE9 INC | COM | 9M | 213K | – |
| FIVE9 INC | COM | 3M | 61K | – |
| FUNKO INC | COM CL A | 89K | 9K | – |
| FUNKO INC | COM CL A | 3M | 300K | – |
| GEO GROUP INC NEW | COM | 8M | 560K | – |
| GEO GROUP INC NEW | COM | 251K | 17K | – |
| GOODRX HLDGS INC | COM CL A | 110K | 14K | – |
| GOODRX HLDGS INC | COM CL A | 4M | 450K | – |
| GRAND CANYON ED INC | COM | 19M | 135K | – |
| GRAND CANYON ED INC | COM | 3M | 22K | – |
| INTERDIGITAL INC | COM | 5M | 45K | – |
| INTERDIGITAL INC | COM | 157K | 1K | – |
| LIVERAMP HLDGS INC | COM | 3M | 107K | – |
| LIVERAMP HLDGS INC | COM | 102K | 3K | – |
| MICROSOFT CORP | COM | 6M | 13K | – |
| MICROSOFT CORP | COM | 177K | 395 | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 2M | 10K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 49K | 295 | – |
| OSI SYSTEMS INC | COM | 12M | 88K | – |
| OSI SYSTEMS INC | COM | 375K | 3K | – |
| PJT PARTNERS INC | COM CL A | 19M | 180K | – |
| PJT PARTNERS INC | COM CL A | 2M | 21K | – |
| POOL CORP | COM | 12M | 39K | – |
| POOL CORP | COM | 352K | 1K | – |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 18M | 228K | – |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 4M | 52K | – |
| TTM TECHNOLOGIES INC | COM | 5M | 250K | – |
| TTM TECHNOLOGIES INC | COM | 147K | 8K | – |
| VIVID SEATS INC | COM CL A | 3M | 522K | – |
| VIVID SEATS INC | COM CL A | 5M | 875K | – |
| WATSCO INC | COM | 6M | 13K | – |
| WATSCO INC | COM | 181K | 390 | – |
| WILLSCOT MOBIL MINI HLDNG CO | COM CL A | 13M | 350K | – |
| WILLSCOT MOBIL MINI HLDNG CO | COM CL A | 397K | 11K | – |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 888K | 15K | – |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 27K | 450 | – |