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PROSPECT CAPITAL MANAGEMENT L.P.
CRD 131018File 801-62969
APPROVED
Filing as of Aug 21, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$6.64B
Top 25% of cohort (national)
Discretionary AUM
$6.62B
Non-discretionary $14.1M
Clients
4
4 accounts
Employees
143
Top 10% of cohort in FL
Identity & registration
ADV Item 1- Organization form
- Limited Partnership
- Firm type
- Registered
- SEC region
- MIRO
- Registration date
- Mar 31, 2004
- Principal office
- 700 S. ROSEMARY AVE., SUITE 204, WEST PALM BEACH, FL, 33401
- Phone
- 561-285-4044
- Website
- HTTP://PROSPECTCAP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $6.64B
- Discretionary AUM
- $6.62B
- Non-discretionary AUM
- $14.1M
- Discretionary accounts
- 2
- Non-discretionary accounts
- 2
- Total accounts
- 4
- AUM per client
- $1.66B
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 2 | $14.1M |
| Business development companies | 2 | $6.62B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 155 | 143 | decreased by12 |
| Apr 1, 2026 | AUM | $7,230,958,071 | $6,637,985,287 | decreased by$592,972,784 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 97 | 155 | increased by58 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2 | 4 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $7,117,839,433 | $7,230,958,071 | increased by$113,118,638 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2 | 4 | increased by2 |
| Apr 1, 2022 | Employees | 96 | 97 | increased by1 |
| Apr 1, 2022 | Clients | 1 | 2 | increased by1 |
| Apr 1, 2022 | AUM | $5,700,754,000 | $7,117,839,433 | increased by$1,417,085,433 |
| Apr 1, 2022 | Accounts | 1 | 2 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PROSPECT CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROSPECT CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.