Prospect Capital Management L.P.
- Regulatory AUM
- $6.6B
- Discretionary
- $6.6B
- Clients
- 4
- Avg AUM / client
- $1.7B
- Accounts
- 4
- Employees
- 143
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Business development companies | 2 | $6.6B | 99.8% |
| Pooled investment vehicles (non-investment companies) | 2 | $14.1M | 0.21% |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Barry, John, Francis | Ceo | Mar 2004 (22y) | 75% or more | |
| Blackman, Patricia, Lynn | Deputy Compliance Officer | Mar 2018 (8y) | Less than 5% | |
| Wininger, Russell, Lawrence | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 1.06 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 investment companies
- • Portfolio management for pooled investment vehicles
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗