Prospect Capital Advisors, Llc
- Regulatory AUM
- $309M
- Discretionary
- $309M
- Clients
- 3
- Avg AUM / client
- $103M
- Accounts
- 3
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 3 | $309M | 100.0% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $413M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Prospect Advisors Qp, L.P. | Hedge Fund | Delaware | $337M | 61 |
| Prospect Advisors, L.P. | Hedge Fund | Delaware | $75.5M | 40 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel William Mendoza | Managing Member | CFA | Oct 2000 (26y) | 75% or more |
| Williams, Keith | Chief Compliance Officer | Sep 2022 (4y) | 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.
Private funds (2, $413M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Prospect Advisors Qp, L.P. | Hedge Fund | $337M | $1.0M | 61 |
| Prospect Advisors, L.P. | Hedge Fund | $75.5M | $500K | 40 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.3 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
Custody
Reported custodians
- Goldman Sachs $9.8M (3% of AUM) Dec 2017
- Pershing $3.6M (1% of AUM) Dec 2017
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 31, 2026.
View current Form ADV (SEC/IAPD) ↗