Prescott Group Capital Management L.L.C.
- Regulatory AUM
- $1.3B
- Discretionary
- $1.3B
- Clients
- 5
- Avg AUM / client
- $260M
- Accounts
- 5
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 4 | $1.1B | 84.2% |
| Charitable organizations | 1 | $206M | 15.8% |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $806M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Prescott Group Aggressive Small Cap Master Fund, G.P,. master | Hedge Fund | Oklahoma | $400M | 81 |
| Prescott Group Aggressive Mid Cap, L.P. | Hedge Fund | Oklahoma | $391M | 79 |
| Prescott Group Tradition Fund, L.P. | Hedge Fund | Oklahoma | $15.9M | 8 |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Frohlich, Phil | Member | Nov 1998 (28y) | ≈ 37.5% – 75% via Pgcm Inc. | |
| Dunham, Matthew, Nicholas | President | Jan 2024 (3y) | Less than 5% | |
| Walters, Christopher, Richard | Chief Compliance Officer | Jan 2024 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pgcm Inc. | Member | Jul 2020 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Frohlich, Phil: 50% – 75% of Pgcm Inc. × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (3, $806M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Prescott Group Aggressive Small Cap Master Fund, G.P,. | Hedge Fund | $400M | $400K | 81 |
| Prescott Group Aggressive Mid Cap, L.P. | Hedge Fund | $391M | $400K | 79 |
| Prescott Group Tradition Fund, L.P. | Hedge Fund | $15.9M | $250K | 8 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.58 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $206M (16% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗