PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
Adviser information for PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C. last updated from Form ADV on March 26th, 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 | Oklahoma, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | $726.9M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $726.9M |
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 | $726.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 1 | $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 | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesINVESTMENT ADVISORY SERVICES TO A CHARITABLE ORGANIZATION. WE HAVE NO REGULATORY ASSETS UNDER MANAGEMENT FOR THIS CLIENT. |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
1924 S. UTICASUITE 1120
TULSA
OK
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 918-747-3412, Fax: 918-742-7303
Websites
Chief Compliance Officer
CHRISTOPHER WALTERS
1924 S. UTICA
TULSA
OK
United States
Tel:
918-747-3412
Fax:
918-742-7303
C****@******************M
(Full email address available in API data)
Regulatory Contact
PHIL FROHLICH
MANAGER
1924 S. UTICA SUITE 1120
TULSA
OK
United States
Tel:
918-747-3412
Fax:
918-742-7303
P***@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PRESCOTT GROUP AGGRESSIVE MID CAP, L.P. | Hedge Fund | $334.3M | $0.4M | 81 |
| PRESCOTT GROUP AGGRESSIVE SMALL CAP MASTER FUND, G.P,. | Hedge Fund | $378.6M | $0.4M | 85 |
| PRESCOTT GROUP TRADITION FUND, L.P. | Hedge Fund | $13.9M | $0.3M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FROHLICH, PHIL | Individual | – | MEMBER | 11/1998 | < 5% |
| FROHLICH, PHIL | Individual | PGCM INC. | SHAREHOLDER | 07/2020 | 50-75% |
| PGCM INC. | Domestic Entity | – | MEMBER | 07/2020 | > 75% |
| WALTERS, CHRISTOPHER, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
| DUNHAM, MATTHEW, NICHOLAS | Individual | – | PRESIDENT | 01/2024 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 8th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ACI WORLDWIDE INC | COM | 792K | 20K | – |
| ADDUS HOMECARE CORP | COM | 929K | 8K | – |
| ADOBE INC | COM | 1M | 2K | – |
| AIR TRANSPORT SERVICES GRP I | COM | 6M | 424K | – |
| ALLIANCE RESOURCE PARTNERS L | UT LTD PART | 5M | 213K | – |
| ALPHABET INC | CAP STK CL C | 729K | 4K | – |
| ALTAIR ENGR INC | COM CL A | 981K | 10K | – |
| AMAZON COM INC | COM | 386K | 2K | – |
| AMBAC FINL GROUP INC | COM NEW | 2M | 140K | – |
| AMERICAN EXPRESS CO | COM | 848K | 4K | – |
| AMERICAN PUB ED INC | COM | 20M | 1M | – |
| AMERICAN SUPERCONDUCTOR CORP | SHS NEW | 3M | 111K | – |
| AMERICAN WOODMARK CORPORATIO | COM | 1M | 16K | – |
| AMERICAS CAR-MART INC | COM | 2M | 35K | – |
| AMERIPRISE FINL INC | COM | 2M | 4K | – |
| AMETEK INC | COM | 1M | 6K | – |
| APPFOLIO INC | COM CL A | 2M | 8K | – |
| APPLIED INDL TECHNOLOGIES IN | COM | 2M | 10K | – |
| ARIS WATER SOLUTIONS INC | CLASS A COM | 318K | 20K | – |
| ATMUS FILTRATION TECHNOLOGIE | COM | 863K | 30K | – |
| ATRENEW INC | SPONSORED ADS | 5M | 2M | – |
| AUTODESK INC | COM | 5M | 18K | – |
| AUTOZONE INC | COM | 4M | 1K | – |
| AVIS BUDGET GROUP | COM | 314K | 3K | – |
| BARK INC | COM | 81K | 45K | – |
| BENTLEY SYS INC | COM CL B | 987K | 20K | – |
| BILIBILI INC | SPONS ADS REP Z | 5M | 295K | – |
| BOK FINL CORP | COM NEW | 5M | 60K | – |
| BOOZ ALLEN HAMILTON HLDG COR | CL A | 6M | 39K | – |
| BRINKS CO | COM | 2M | 20K | – |
| BROADRIDGE FINL SOLUTIONS IN | COM | 985K | 5K | – |
| BROOKDALE SR LIVING INC | COM | 5M | 725K | – |
| BROOKFIELD CORP | CL A LTD VT SH | 2M | 60K | – |
| BUILDERS FIRSTSOURCE INC | COM | 4M | 29K | – |
| CACI INTL INC | CL A | 3M | 8K | – |
| CADENCE DESIGN SYSTEM INC | COM | 1M | 5K | – |
| CAMTEK LTD | ORD | 2M | 15K | – |
| CARMAX INC | COM | 3M | 41K | – |
| CASEYS GEN STORES INC | COM | 2M | 4K | – |
| CBRE GROUP INC | CL A | 1M | 12K | – |
| CDW CORP | COM | 1M | 5K | – |
| CENCORA INC | COM | 1M | 5K | – |
| CENTENE CORP DEL | COM | 3M | 39K | – |
| CENTURY CASINOS INC | COM | 178K | 64K | – |
| CHARLES RIV LABS INTL INC | COM | 1M | 7K | – |
| CHECK POINT SOFTWARE TECH LT | ORD | 3M | 20K | – |
| CHENIERE ENERGY INC | COM NEW | 2M | 13K | – |
| CHUYS HLDGS INC | COM | 518K | 20K | – |
| CINTAS CORP | COM | 3M | 5K | – |
| CIVEO CORP CDA | COM NEW | 15M | 608K | – |
| CLOUDFLARE INC | CL A COM | 2M | 24K | – |
| CODEXIS INC | COM | 735K | 237K | – |
| COMMUNITY HEALTH SYS INC NEW | COM | 615K | 183K | – |
| COMMVAULT SYS INC | COM | 1M | 10K | – |
| COPART INC | COM | 2M | 45K | – |
| CORPAY INC | COM SHS | 3M | 11K | – |
| COSTCO WHSL CORP NEW | COM | 1M | 2K | – |
| CRANE NXT CO | COM | 2M | 26K | – |
| CREDO TECHNOLOGY GROUP HOLDI | ORDINARY SHARES | 319K | 10K | – |
| CRH PLC | ORD | 1M | 18K | – |
| D R HORTON INC | COM | 7M | 49K | – |
| DADA NEXUS LTD | ADS | 1M | 1M | – |
| DAKTRONICS INC | COM | 558K | 40K | – |
| DECKERS OUTDOOR CORP | COM | 2M | 2K | – |
| DESIGN THERAPEUTICS INC | COM | 1M | 343K | – |
| DIAMONDBACK ENERGY INC | COM | 7M | 33K | – |
| DIEBOLD NIXDORF INC | COM SHS | 14M | 370K | – |
| DIVERSIFIED ENERGY COMPANY P | SHS NEW | 3M | 210K | – |
| ELASTIC N V | ORD SHS | 1M | 9K | – |
| ELI LILLY & CO | COM | 1M | 2K | – |
| EMCOR GROUP INC | COM | 4M | 11K | – |
| ENCOMPASS HEALTH CORP | COM | 1M | 14K | – |
| ENDAVA PLC | ADS | 10M | 354K | – |
| ENHABIT INC | COM | 2M | 180K | – |
| ENOVA INTL INC | COM | 6M | 104K | – |
| EPAM SYS INC | COM | 4M | 21K | – |
| EVERCORE INC | CLASS A | 1M | 7K | – |
| EZCORP INC | CL A NON VTG | 1M | 130K | – |
| FAIR ISAAC CORP | COM | 3M | 2K | – |
| FASTENAL CO | COM | 1M | 17K | – |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 3M | 57K | – |
| FIDELITY NATL INFORMATION SV | COM | 2M | 30K | – |
| FIRST SOLAR INC | COM | 676K | 3K | – |
| FIRSTCASH HOLDINGS INC | COM | 7M | 71K | – |
| FISERV INC | COM | 5M | 32K | – |
| FLEX LTD | ORD | 3M | 85K | – |
| FLUOR CORP NEW | COM | 3M | 75K | – |
| FORTIVE CORP | COM | 706K | 10K | – |
| GALLAGHER ARTHUR J & CO | COM | 3M | 13K | – |
| GARRETT MOTION INC | COM | 2M | 214K | – |
| GARTNER INC | COM | 3M | 7K | – |
| GEO GROUP INC NEW | COM | 2M | 130K | – |
| GLOBAL PMTS INC | COM | 4M | 45K | – |
| GRAFTECH INTL LTD | COM | 1M | 1M | – |
| GRAINGER W W INC | COM | 2M | 2K | – |
| GREAT LAKES DREDGE & DOCK CO | COM | 5M | 547K | – |
| GUIDEWIRE SOFTWARE INC | COM | 689K | 5K | – |
| HCA HEALTHCARE INC | COM | 9M | 27K | – |
| HEALTHCARE SVCS GROUP INC | COM | 111K | 11K | – |
| HEIDRICK & STRUGGLES INTL IN | COM | 316K | 10K | – |
| HERSHEY CO | COM | 919K | 5K | – |
| HIBBETT INC | COM | 1M | 13K | – |
| HOLLYSYS AUTOMATION TCHNGY L | SHS | 6M | 291K | – |
| HP INC | COM | 3M | 80K | – |
| HUBBELL INC | COM | 3M | 8K | – |
| HUMANA INC | COM | 2M | 6K | – |
| INSPIRED ENTMT INC | COM | 3M | 358K | – |
| INTERACTIVE BROKERS GROUP IN | COM CL A | 3M | 23K | – |
| ISHARES TR | RUSSELL 2000 ETF | 30M | 150K | – |
| JABIL INC | COM | 2M | 18K | – |
| JD.COM INC | SPON ADS CL A | 7M | 255K | – |
| JEFFERIES FINL GROUP INC | COM | 1M | 25K | – |
| JFROG LTD | ORD SHS | 2M | 65K | – |
| JOHNSON CTLS INTL PLC | SHS | 266K | 4K | – |
| KBR INC | COM | 6M | 91K | – |
| KOPIN CORP | COM | 260K | 310K | – |
| LAMB WESTON HLDGS INC | COM | 3M | 31K | – |
| LEIDOS HOLDINGS INC | COM | 1M | 9K | – |
| LENNOX INTL INC | COM | 2M | 4K | – |
| LIFEMD INC | COM | 2M | 220K | – |
| LKQ CORP | COM | 1M | 25K | – |
| MARINEMAX INC | COM | 2M | 67K | – |
| MARRIOTT VACATIONS WORLDWIDE | COM | 2M | 22K | – |
| MARSH & MCLENNAN COS INC | COM | 3M | 12K | – |
| MATRIX SVC CO | COM | 695K | 70K | – |
| MEDPACE HLDGS INC | COM | 2M | 6K | – |
| MICROCHIP TECHNOLOGY INC. | COM | 915K | 10K | – |
| MICROSOFT CORP | COM | 2M | 5K | – |
| MP MATERIALS CORP | COM CL A | 1M | 97K | – |
| MR COOPER GROUP INC | COM | 3M | 35K | – |
| MUELLER INDS INC | COM | 2M | 30K | – |
| NACCO INDS INC | CL A | 1M | 46K | – |
| NATURES SUNSHINE PRODS INC | COM | 27M | 2M | – |
| NCR ATLEOS CORPORATION | COM SHS | 270K | 10K | – |
| NELNET INC | CL A | 2M | 17K | – |
| NEW ORIENTAL ED & TECHNOLOGY | SPON ADR | 777K | 10K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 2M | 13K | – |
| NEXTERA ENERGY INC | COM | 1M | 17K | – |
| NEXTRACKER INC | CLASS A COM | 490K | 10K | – |
| NGL ENERGY PARTNERS LP | COM UNIT REPST | 263K | 52K | – |
| NIKE INC | CL B | 1M | 14K | – |
| NOAH HLDGS LTD | SPON ADS | 4M | 384K | – |
| NU SKIN ENTERPRISES INC | CL A | 4M | 347K | – |
| NUTANIX INC | CL A | 290K | 5K | – |
| NVR INC | COM | 8M | 999 | – |
| OATLY GROUP AB | SPONSORED ADS | 113K | 120K | – |
| ON HLDG AG | NAMEN AKT A | 2M | 46K | – |
| ONEMAIN HLDGS INC | COM | 4M | 81K | – |
| ONITY GROUP INC | COM NEW | 4M | 153K | – |
| OPTINOSE INC | COM | 814K | 783K | – |
| ORACLE CORP | COM | 969K | 7K | – |
| OREILLY AUTOMOTIVE INC | COM | 5M | 5K | – |
| ORGANOVO HLDGS INC | COM NEW | 361K | 474K | – |
| OSISKO GOLD ROYALTIES LTD | COM | 4M | 232K | – |
| PARAGON 28 INC | COM | 587K | 86K | – |
| PARK-OHIO HLDGS CORP | COM | 1M | 53K | – |
| PATRICK INDS INC | COM | 1M | 12K | – |
| PATTERSON-UTI ENERGY INC | COM | 1M | 120K | – |
| PAYPAL HLDGS INC | COM | 3M | 47K | – |
| PENN ENTERTAINMENT INC | COM | 1M | 60K | – |
| PENNYMAC FINL SVCS INC NEW | COM | 3M | 36K | – |
| PERFORMANT FINL CORP | COM | 46M | 16M | – |
| PERION NETWORK LTD | SHS NEW | 1M | 150K | – |
| PERMA-FIX ENVIRONMENTAL SVCS | COM NEW | 5M | 448K | – |
| PERMIAN RESOURCES CORP | CLASS A COM | 3M | 202K | – |
| PLAINS GP HLDGS L P | LTD PARTNR INT A | 4M | 189K | – |
| PLAYAGS INC | COM | 3M | 262K | – |
| PRIMERICA INC | COM | 4M | 18K | – |
| PTC INC | COM | 727K | 4K | – |
| QUANTA SVCS INC | COM | 3M | 12K | – |
| RADNET INC | COM | 2M | 42K | – |
| RENTOKIL INITIAL PLC | SPONSORED ADR | 890K | 30K | – |
| REPOSITRAK INC | COM NEW | 273K | 18K | – |
| RIVIAN AUTOMOTIVE INC | COM CL A | 403K | 30K | – |
| ROSS STORES INC | COM | 5M | 36K | – |
| RPM INTL INC | COM | 818K | 8K | – |
| RTX CORPORATION | COM | 4M | 40K | – |
| RUSH ENTERPRISES INC | CL A | 2M | 49K | – |
| RXO INC | COMMON STOCK | 523K | 20K | – |
| S&W SEED CO | COM | 262K | 729K | – |
| SANDSTORM GOLD LTD | COM NEW | 1M | 230K | – |
| SCHRODINGER INC | COM | 658K | 34K | – |
| SCIENCE APPLICATIONS INTL CO | COM | 2M | 16K | – |
| SEMTECH CORP | COM | 896K | 30K | – |
| SERVICENOW INC | COM | 3M | 4K | – |
| SIMULATIONS PLUS INC | COM | 1M | 22K | – |
| SKECHERS U S A INC | CL A | 4M | 52K | – |
| SMITH DOUGLAS HOMES CORP | COM SHS CL A | 1M | 54K | – |
| SOLAREDGE TECHNOLOGIES INC | COM | 4M | 150K | – |
| SONIDA SENIOR LIVING INC | COM | 484K | 18K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 12M | 23K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 2M | 17K | – |
| SPDR SER TR | S&P REGL BKG | 3M | 60K | – |
| SPS COMM INC | COM | 2M | 11K | – |
| STARBUCKS CORP | COM | 1M | 15K | – |
| STEM INC | COM | 766K | 690K | – |
| STEREOTAXIS INC | COM NEW | 1M | 824K | – |
| STIFEL FINL CORP | COM | 2M | 20K | – |
| SUPERIOR GROUP OF CO INC | COM | 948K | 50K | – |
| SYNOPSYS INC | COM | 1M | 3K | – |
| TAYLOR DEVICES INC | COM | 360K | 8K | – |
| TD SYNNEX CORPORATION | COM | 3M | 30K | – |
| TECHNIPFMC PLC | COM | 6M | 230K | – |
| THE CIGNA GROUP | COM | 4M | 12K | – |
| THOUGHTWORKS HOLDING INC | COM | 3M | 913K | – |
| TJX COS INC NEW | COM | 4M | 35K | – |
| TUTOR PERINI CORP | COM | 4M | 187K | – |
| V2X INC | COM | 4M | 93K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 820K | 10K | – |
| VARONIS SYS INC | COM | 480K | 10K | – |
| VICOR CORP | COM | 3M | 87K | – |
| VIPSHOP HLDGS LTD | SPONSORED ADS A | 1M | 96K | – |
| VITAL FARMS INC | COM | 842K | 18K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 961K | 79K | – |
| WALMART INC | COM | 792K | 12K | – |
| WEATHERFORD INTL PLC | ORD SHS | 3M | 21K | – |
| ZETA GLOBAL HOLDINGS CORP | CL A | 882K | 50K | – |
| ZHIHU INC | SPONSORED ADS | 351K | 129K | – |
| ZOETIS INC | CL A | 3M | 20K | – |