PROSPECT CAPITAL ADVISORS, LLC

SAUSALITO, CA Investment Advisor Hedge Fund How do I update this listing?

Prospect Capital Advisors is based out of Sausalito. Prospect Capital Advisors is a large advisory firm with 4 clients and discretionary assets under management (AUM) of $431,696,973 (Form ADV from 2019-03-29). Their last reported 13F filing for Q3 2019 included $197,591,000 in managed 13F securities and a top 10 holdings concentration of 67.6%. Prospect Capital Advisors's largest holding is Five9 Inc with shares held of 424,750. Prospect Capital Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 16 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $197.591 Million
  • Prior Market Value $235.13 Million
  • New Purchases4 stocks
  • Additional Purchases6 stocks
  • Sold out of4 stocks
  • Reduced holdings in5 stocks
  • Top 10 Holdings % 67.60 %
  • Turnover % [1]:29.63%
  • Turnover Alt % [2]: 25.92 %
  • Time Held Top20:6.50 quarters
  • Time Held Top10:4.70 quarters
  • Time Held All:6.52 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 2.27%
Performance Last 4 Quarters: -2.05%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

PROSPECT CAPITAL ADVISORS, LLC
Classified as Hedge Fund
501 HUMBOLDT AVENUE, 2ND FLOOR
SAUSALITO CA    94965
Country: United States

Business Phone: (415) 331-3590
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 4
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 268,911,000
Total Number of Clients: 4
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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PROSPECT CAPITAL ADVISORS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
MENDOZA, DANIEL, WILLIAM MANAGING MEMBER 10/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
PROSPECT CAPITAL ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2000-10-01
NURTMAN, HOWARD, IAN CHIEF COMPLIANCE OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
POTRERO CAPITAL RESEARCH, LLC CCO direct 2017-06-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
TURQUOISE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PROSPECT ADVISORS, L.P. United States 805-9307724625 Hedge Fund 54,179,633 500,000
PROSPECT ADVISORS QP, L.P. United States 805-6749952644 Hedge Fund 362,702,277 1,000,000

PROSPECT CAPITAL ADVISORS, LLC

ownership team - last updated 2017-12-12
Name Title Start Date Direct/Indirect % Ownership
MENDOZA, DANIEL, WILLIAM MANAGING MEMBER 10/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
PROSPECT CAPITAL ADVISORS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2000-10-01
NURTMAN, HOWARD, IAN CHIEF COMPLIANCE OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
POTRERO CAPITAL RESEARCH, LLC CCO direct 2017-06-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
TURQUOISE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PROSPECT ADVISORS, L.P. United States 805-9307724625 Hedge Fund 48,521,022 500,000
PROSPECT ADVISORS QP, L.P. United States 805-6749952644 Hedge Fund 319,309,665 1,000,000

WhaleScore history for PROSPECT CAPITAL ADVISORS, LLC

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