RIA Intel›Advisers›New Jersey›PROSPECT CAPITAL SERVICES, INC.

PROSPECT CAPITAL SERVICES, INC.

Advisory

N·WESTFIELD, NJ

Data as of May 29, 2024 · Source: SEC Form ADV

Total AUM

$191M

1-Year AUM Growth

+13.4%

3-Year CAGR

+7.1%

Employees

2

Assets Under Management

Total AUM$191M

Discretionary AUM$179M

Non-Discretionary AUM$12M

Discretionary %93.6%

Total Clients—

Team

Total Employees2

Investment Advisers5

Employee Growth (1Y)-33.3%

Filing History

Total Filings on Record33

First FilingSep 20, 2017

Latest FilingMay 29, 2024

🔒 Full AUM trend chart and 33 historical filings spanning 7+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on PROSPECT CAPITAL SERVICES, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.