Prospect Capital Management L.P.

Registered investment adviser · West Palm Beach, FL · CRD #131018

Form ADV data as of 2026-09-01

Regulatory assets

$6.64 billion

Total accounts

Employees

143

Disclosure events

Firm details

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$6.62 billion
Non-discretionary regulatory assets under management	$14.1 million
Total regulatory assets under management	$6.64 billion
Discretionary accounts	2
Non-discretionary accounts	2
Total accounts	4
Regulatory assets under management attributable to non-U.S. persons	$2.5 million

Total employees (excluding clerical)	143
Employees performing investment advisory functions (including research)	44
Employees who are registered representatives of a broker-dealer	9
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

A percentage of assets under managementPerformance-based fees

Portfolio management for investment companiesPortfolio management for pooled investment vehicles

Other investment adviser (including financial planners)

Type of client	Clients	Assets
Business development companies	2	$6.62 billion
Pooled investment vehicles (other than investment companies and BDCs)	2	$14.1 million