PROSPECT CAPITAL MANAGEMENT L.P.
Adviser information for PROSPECT CAPITAL MANAGEMENT L.P. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 124 |
|---|---|
| Investment Advisory/Research | 50 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $7.8B |
| Non-Discretionary | 2 | $15.0M |
| Total | 4 | $7.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 2 | $7.8B |
| Pooled investment vehicles | 2 | $15.0M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-62969 |
|---|---|
| SEC ERA File Number | 801-62969 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131018 |
| Legal Entity Identifier | None |
Principal Office
700 S. ROSEMARY AVE.SUITE 204
WEST PALM BEACH
FL
United States
Monday - Friday, 8:30 AM TO 7:00 PM
Tel: 561-285-4044, Fax: 212-448-9652
Chief Compliance Officer
JONATHAN LI
DEPUTY GENERAL COUNSEL
10 EAST 40TH STREET, 42ND FLOOR
NEW YORK
NY
United States
Tel:
212-448-0702
Fax:
212-448-9652
J**@**************M
(Full email address available in API data)
Regulatory Contact
PATRICIA BLACKMAN
DEPUTY COMPLIANCE OFFICER
10 EAST 40 STREET, 42ND FLOOR
NEW YORK
NY
United States
Tel:
(212) 448-0702
Fax:
(212) 448-9652
T********@**************M
(Full email address available in API data)
Industry Affiliates
| PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARRY, JOHN, FRANCIS | Individual | – | CEO | 03/2004 | > 75% |
| BLACKMAN, PATRICIA, LYNN | Individual | – | DEPUTY COMPLIANCE OFFICER | 03/2018 | < 5% |
| LI, JONATHAN, JUNG-HSI | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2018 | < 5% |