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PROSPECT CAPITAL ADVISORS, LLC

A66
CRD 119531·SEC 801-100384·SAUSALITO, CA
AUM
$309.4M
$100M-$500M
Est. Revenue
$3.1M
@ 1% on AUM
Est. EBITDA
$928K
@ 30% margin
Est. Deal Value
$7.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PROSPECT CAPITAL ADVISORS, LLC
CRD
119531
SEC file #
801-100384
EIN
000000000
DBA names
—

Economics

AUM
$309.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$431.7M → $309.4M▼ -28%
Client mix
Pooled Investment Vehicles3

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
4 advisors → 2 advisors▼ -50%
Primary office
SAUSALITO CA
Branches
—

Custodian & Brokerage

Primary custodian
Goldman Sachslow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MENDOZA, DANIEL, WILLIAM
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
MENDOZA, DANIEL, WILLIAM
Williams, Keith
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001632368
Edgar Registered
Yes
Edgar Filing Count
44
Edgar First Filing Date
2016-02-12
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
42
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001632368-26-000003

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Goldman Sachs8
E*trade4
Edgar Addresses
Mailing
501 HUMBOLDT AVENUE2ND FLOORSAUSALITO, CA 94965
Business
501 HUMBOLDT AVENUE2ND FLOORSAUSALITO, CA 94965
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0001632368-26-000003
13F-HR2026-02-17 · 0001632368-26-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2273186
Trust Company Affiliate
No

People (2)

2
MENDOZA, DANIEL, WILLIAM
IAR · Direct Owner · 87.5%
2273186
Williams, Keith
Executive Officer · 2.5%
7625934