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PROSPECT RIDGE
Legal name: PROSPECT RIDGE ADVISORS, LLC
CRD 299594File 801-114474
APPROVED
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$5.81B
Top 25% of cohort (national)
Discretionary AUM
$5.67B
Non-discretionary $136.0M
Clients
30
30 accounts
Employees
44
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 28, 2019
- Principal office
- 640 FIFTH AVENUE, 8TH FLOOR, NEW YORK, NY, 10019
- Phone
- 415-393-5316
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $5.81B
- Discretionary AUM
- $5.67B
- Non-discretionary AUM
- $136.0M
- Discretionary accounts
- 29
- Non-discretionary accounts
- 1
- Total accounts
- 30
- AUM per client
- $193.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 30 | $5.81B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — ACQUISITION FEES
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- 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 | 40 | 44 | increased by4 |
| Apr 1, 2026 | Clients | 32 | 30 | decreased by2 |
| Apr 1, 2026 | AUM | $5,430,052,166 | $5,809,355,876 | increased by$379,303,710 |
| Apr 1, 2026 | Accounts | 32 | 30 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 36 | 40 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 35 | 32 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,587,842,863 | $5,430,052,166 | increased by$1,842,209,303 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 27 | 32 | increased by5 |
| Apr 1, 2022 | Employees | 24 | 36 | increased by12 |
| Apr 1, 2022 | Clients | 24 | 35 | increased by11 |
| Apr 1, 2022 | AUM | $2,665,574,089 | $3,587,842,863 | increased by$922,268,774 |
| Apr 1, 2022 | Accounts | 16 | 27 | increased by11 |
| 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 RIDGE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PROSPECT RIDGE” 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.