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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PROSPECT PARTNERS, L.L.C.

CRD 157526

CHICAGO, IL

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:3faccea0-dbb9-a168-11c2-c456992ed6b8

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 1
Observed: Feb 13, 2012 to Mar 31, 2022
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Prospect Partners, L.L.C.

Private equity manager · shared crd

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: $7.3MItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.3M
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: 9
Advisory employees: 9
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $7.3Mgross asset value as reported per fund; never fund size
Custody, client assets: $7.3M
SEC number: 801-73531
CRD: 157526
Filings on the tape: 19
First filed: Feb 13, 2012
Latest filed: Mar 31, 2022
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PROSPECT PARTNERS, LP	Private Equity Fund	$7,500	Mar 28, 2019	27	Feb 13, 2012	dropped	n/a

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
KENTER, LOUIS, WILLIAM	ELECTED MANAGER	C	yes	05/1998	Feb 13, 2012	Mar 31, 2022
TUTTLE, RICHARD, CARL	ELECTED MANAGER	C	yes	05/1998	Feb 13, 2012	Mar 31, 2022
GLASTRIS, WILLIAM, V.	Member	C	no	05/1998	Mar 27, 2012	Mar 31, 2022
MAURER, ERIK	MEMBER AND CHIEF COMPLIANCE OFFICER	Na	no	10/2021	Mar 31, 2022	Mar 31, 2022

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
PROSPECT PARTNERS ADVISORS LLC	n/a	Asset manager	$378M	N	yes	n/a
PROSPECT PARTNERS MANAGEMENT GROUP II, L.P.	n/a	n/a	n/a	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
2021	Mar 31, 2022	$7.3M	$7.3M	9	9	0	1	$7.3M
2020	Mar 29, 2021	$137M	$137M	10	8	0	2	$137M
2019	Mar 25, 2020	$181M	$181M	12	8	0	2	$181M
2018	Mar 28, 2019	$223M	$223M	13	9	1	3	$223M
2017	Mar 22, 2018	$270M	$270M	16	14	1	3	$270M
2016	Mar 29, 2017	$322M	$322M	16	14	n/a	3	$322M
2015	Mar 29, 2016	$340M	$340M	15	13	n/a	3	$340M
2014	Mar 27, 2015	$294M	$294M	15	13	n/a	3	$294M
2013	Mar 27, 2014	$324M	$324M	16	14	n/a	3	$324M
2012	Mar 27, 2013	$375M	$375M	16	14	n/a	3	$375M

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
2021	$7.3M	$137M	-94.7%	$223M	-68.0%	9	10	0	0

Relationships

Affiliated with (1)

→ PROSPECT PARTNERS ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← TUTTLE, RICHARD, CARLOwnerELECTED MANAGER, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV
← KENTER, LOUIS, WILLIAMOwnerELECTED MANAGER, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV

Owns (2)

← GLASTRIS, WILLIAM, V.OwnerMEMBER, ownership code C, individual
Mar 27, 2012 to presentfactForm ADV
← MAURER, ERIKOwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2022 to presentfactForm ADV

Advises (1)

→ PROSPECT PARTNERS, LPPrivate fundPrivate Equity Fund, IA, no longer reported
Feb 13, 2012 to Mar 28, 2019factForm ADV

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
Prospect Partners, L.L.C. reported RAUM $7.3M, down 95% from $137.0M (2021-11-17 to 2022-03-31)
Form ADVobserved 4 days ago
$-130M
Occurred
Jun 29, 2021
Control person left
Chen Guo Hutson (Chief Compliance Officer/Chief Financial Officer) no longer on Schedule A of Prospect Partners, L.L.C. (listed 2021-06-01, absent 2021-06-29)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3faccea0-dbb9-a168-11c2-c456992ed6b8
First observed: Feb 13, 2012
Last observed: Mar 31, 2022 54 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.

PROSPECT PARTNERS, L.L.C.

CRD 157526

CHICAGO, IL

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:3faccea0-dbb9-a168-11c2-c456992ed6b8

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:42 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PROSPECT PARTNERS, LP

Private Equity Fund

$7,500

Mar 28, 2019

Feb 13, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KENTER, LOUIS, WILLIAM

ELECTED MANAGER

yes

05/1998

Feb 13, 2012

Mar 31, 2022

TUTTLE, RICHARD, CARL

ELECTED MANAGER

yes

05/1998

Feb 13, 2012

Mar 31, 2022

GLASTRIS, WILLIAM, V.

Member

05/1998

Mar 27, 2012

Mar 31, 2022

MAURER, ERIK

MEMBER AND CHIEF COMPLIANCE OFFICER

10/2021

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PROSPECT PARTNERS ADVISORS LLC

n/a

Asset manager

$378M

yes

n/a

PROSPECT PARTNERS MANAGEMENT GROUP II, L.P.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$7.3M

2020

Mar 29, 2021

$137M

2019

Mar 25, 2020

$181M

2018

Mar 28, 2019

$223M

2017

Mar 22, 2018

$270M

2016

Mar 29, 2017

$322M

n/a

$322M

2015

Mar 29, 2016

$340M

n/a

$340M

2014

Mar 27, 2015

$294M

n/a

$294M

2013

Mar 27, 2014

$324M

n/a

$324M

2012

Mar 27, 2013

$375M

n/a

$375M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$7.3M

$137M

-94.7%

$223M

-68.0%