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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CAPITAL PROSPECTS LLC

CRD 124171

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14ffcdfd-2fd9-ca41-9cf9-7e27b32ed0aa

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 27, 2012 to Mar 23, 2021
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4BItem 5.F on the latest filing (2021-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
SEC number: 801-64972
CRD: 124171
Filings on the tape: 12
First filed: Feb 27, 2012
Latest filed: Mar 23, 2021
Organised: Limited Liability Company, Connecticut

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ATTUCKS ASSET MANAGEMENT, LLC	Owner	E	yes	01/2020	Jan 29, 2020	Mar 23, 2021
FREEMAN, MARILYN, RUTH	Manager	Na	yes	01/2020	Feb 27, 2012	Mar 23, 2021
Talley, Derek, Anthony	CHIEF COMPLIANCE OFFICER	Na	no	01/2020	Jan 29, 2020	Mar 23, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ATTUCKS ASSET MANAGEMENT, LLC	n/a	Institutional manager	$3.9B	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 23, 2021	$1.4B	$1.4B	3	2	0	n/a	n/a
2019	Jan 29, 2020	$1.7B	$1.7B	4	3	0	n/a	n/a
2018	Jan 25, 2019	$1.4B	$1.4B	5	3	0	n/a	n/a
2017	Feb 28, 2018	$1.5B	$1.5B	6	3	0	n/a	n/a
2016	Jan 26, 2017	$1.1B	$1.1B	6	3	n/a	n/a	n/a
2015	Jan 26, 2016	$1.2B	$1.2B	6	3	n/a	n/a	n/a
2014	Feb 2, 2015	$1.4B	$1.4B	7	4	n/a	n/a	n/a
2013	Jan 30, 2014	$1.4B	$1.4B	6	3	n/a	n/a	n/a
2012	Feb 5, 2013	$1.1B	$1.1B	6	2	n/a	n/a	n/a
2011	Feb 27, 2012	$983M	$983M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$1.4B	$1.7B	-20.5%	$1.5B	-4.3%	3	4	0	0

Relationships

Affiliated with (1)

→ ATTUCKS ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← ATTUCKS ASSET MANAGEMENT, LLCOwnerOWNER, ownership code E, domestic entity
Jan 29, 2020 to presentfactForm ADV
← FREEMAN, MARILYN, RUTHOwnerMANAGER, ownership code NA, individual
Feb 27, 2012 to presentfactForm ADV

Owns (1)

← Talley, Derek, AnthonyOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 29, 2020 to presentfactForm ADV

Dated events

Occurred
Mar 23, 2021
Control person left
Ann Elizabeth Knope (Manager) no longer on Schedule A of Capital Prospects Llc (listed 2020-01-30, absent 2021-03-23)
Form ADVobserved 6 days ago
Occurred
Feb 28, 2018
Regulatory AUM changed
Capital Prospects Llc reported RAUM $1.5B, up 38% from $1.1B (2017-01-26 to 2018-02-28)
Form ADVobserved 6 days ago
$424M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14ffcdfd-2fd9-ca41-9cf9-7e27b32ed0aa
First observed: Feb 27, 2012
Last observed: Mar 23, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CAPITAL PROSPECTS LLC

CRD 124171

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14ffcdfd-2fd9-ca41-9cf9-7e27b32ed0aa

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ATTUCKS ASSET MANAGEMENT, LLC

Owner

yes

01/2020

Jan 29, 2020

Mar 23, 2021

FREEMAN, MARILYN, RUTH

Manager

yes

01/2020

Feb 27, 2012

Mar 23, 2021

Talley, Derek, Anthony

CHIEF COMPLIANCE OFFICER

01/2020

Jan 29, 2020

Mar 23, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ATTUCKS ASSET MANAGEMENT, LLC

n/a

Institutional manager

$3.9B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 23, 2021

$1.4B

n/a

2019

Jan 29, 2020

$1.7B

n/a

2018

Jan 25, 2019

$1.4B

n/a

2017

Feb 28, 2018

$1.5B

n/a

2016

Jan 26, 2017

$1.1B

n/a

2015

Jan 26, 2016

$1.2B

n/a

2014

Feb 2, 2015

$1.4B

n/a

2013

Jan 30, 2014

$1.4B

n/a

2012

Feb 5, 2013

$1.1B

n/a

2011

Feb 27, 2012

$983M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$1.4B

$1.7B

-20.5%

$1.5B

-4.3%