PROSPECT CAPITAL ADVISORS, LLC

RIASEC RegisteredEst. 2015
Total AUM
$309M
Discretionary
$309M
100% of AUM
Avg account
$103M
Accounts
3
Employees
4
Advisory reps
2

Firm details

Headquarters
SAUSALITO, California
CRD number
119531
Registered since
June 30, 2015
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • Pooled Investment Vehicles100%
Services
Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Prospect Capital Advisors, LLC is an SEC-registered investment manager (since 2015) organized as an LLC and operated by an individual owner. The firm is classified as a hedge fund manager that serves institutional clients and conducts portfolio management for pooled investment vehicles. Its operating permissions include activity as a commodity pool operator/commodity trading advisor (CPO/CTA). Compensation is structured as a percentage of assets under management with performance-based fees on top, consistent with hedge fund economics. Prospect Capital Advisors does not report itself as an active ESG investor and is not identified as a multistate adviser or a related adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

1 of 1
  • Keith Williams

    CCO & CFOCRD 7625934

Contacts

1 of 1
  • DANIEL MENDOZA

    Managing MemberCRD 2273186

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

SAUSALITO, CA

MARIN

Location

SAUSALITO, CA

Headquartered in SAUSALITO, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
MARIN
Address
501 Humboldt Ave
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth