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PRELUDE CAPITAL MANAGEMENT, LLC
CRD 158105File 801-73598
APPROVED
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.39B
Top 25% of cohort (national)
Discretionary AUM
$2.39B
Clients
18
18 accounts
Employees
32
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 30, 2012
- Principal office
- 600 LEXINGTON AVE, 20TH FLOOR, NEW YORK, NY, 10022
- Phone
- 212-546-1180
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.39B
- Discretionary AUM
- $2.39B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 18
- Non-discretionary accounts
- 0
- Total accounts
- 18
- AUM per client
- $132.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 18 | $2.39B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
Advisory activities
- Selection of other advisers
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
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 | 36 | 32 | decreased by4 |
| Apr 1, 2026 | Clients | 19 | 18 | decreased by1 |
| Apr 1, 2026 | AUM | $1,782,437,787 | $2,388,923,435 | increased by$606,485,648 |
| Apr 1, 2026 | Accounts | 19 | 18 | decreased by1 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 18 | 19 | increased by1 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $1,787,077,934 | $1,782,437,787 | decreased by$4,640,147 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 18 | 19 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 62 | 36 | decreased by26 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 14 | 18 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $6,819,641,675 | $1,787,077,934 | decreased by$5,032,563,741 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 14 | 18 | increased by4 |
| Apr 1, 2022 | Employees | 43 | 62 | increased by19 |
| Apr 1, 2022 | Clients | 9 | 14 | increased by5 |
| Apr 1, 2022 | AUM | $8,135,999,816 | $6,819,641,675 | decreased by$1,316,358,141 |
| Apr 1, 2022 | Accounts | 9 | 14 | increased by5 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PRELUDE CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PRELUDE 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.