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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

CRD 115220

TULSA, OK

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:8b58ffb7-e266-39e8-e3bf-f7a960383ebb

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 9
On other graphs: 0
Observed: Mar 26, 2012 to Mar 27, 2026
21 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: asset managerderivedprivate_client_share=0.0 fund_share=0.84 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
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: 6
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 5
Private funds: 3Schedule D 7.B(1)
Custody, client assets: $0
SEC number: 801-60650
CIK: 1166152
CRD: 115220
Filings on the tape: 21
First filed: Mar 26, 2012
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, OK
Website: prescottcapital.com

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
PRESCOTT GROUP AGGRESSIVE SMALL CAP MASTER FUND, G.P,.	Hedge Fund	$400M	Oct 16, 2024	81	Mar 26, 2012	reported	n/a
PRESCOTT GROUP AGGRESSIVE MID CAP, L.P.	Hedge Fund	$391M	Oct 16, 2024	79	Mar 26, 2012	reported	n/a
PRESCOTT GROUP TRADITION FUND, L.P.	Hedge Fund	$15.9M	Oct 16, 2024	8	Mar 26, 2012	reported	n/a
PRESCOTT GROUP MID CAP, L.P.	Hedge Fund	$4.6M	Apr 11, 2013	14	Mar 26, 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
DUNHAM, MATTHEW, NICHOLAS	President	Na	yes	01/2024	Mar 26, 2024	Oct 16, 2024
FROHLICH, PHIL	Shareholder	D	yes	07/2020	Mar 26, 2012	Oct 16, 2024
FROHLICH, PHIL	Member	Na	yes	11/1998	Mar 26, 2012	Oct 16, 2024
PGCM INC.	Member	E	yes	07/2020	Mar 3, 2021	Oct 16, 2024
WALTERS, CHRISTOPHER, RICHARD	CHIEF COMPLIANCE OFFICER	Na	yes	01/2024	Mar 26, 2024	Oct 16, 2024

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
2025	Mar 27, 2026	$1.3B	$1.3B	6	2	0	3	n/a
2024	Mar 26, 2025	$862M	$862M	6	2	0	3	n/a
2023	Mar 26, 2024	$727M	$727M	7	3	0	3	$727M
2022	Mar 30, 2023	$616M	$616M	6	3	0	3	$616M
2021	Mar 17, 2022	$555M	$555M	5	3	0	3	$555M
2020	Mar 3, 2021	$384M	$384M	5	3	0	3	$384M
2019	Mar 12, 2020	$419M	$419M	6	4	0	3	$419M
2018	Mar 5, 2019	$576M	$576M	6	4	0	3	$576M
2017	Mar 15, 2018	$548M	$548M	6	4	0	3	$548M
2016	Mar 15, 2017	$530M	$530M	6	4	n/a	3	$530M
2015	Mar 21, 2016	$471M	$471M	6	4	n/a	3	$471M
2014	Mar 20, 2015	$662M	$662M	6	4	n/a	3	$662M
2013	Mar 21, 2014	$577M	$577M	7	5	n/a	3	$577M
2012	Mar 18, 2013	$399M	$399M	8	6	n/a	4	$399M
2011	Mar 26, 2012	$383M	$383M	n/a	n/a	n/a	4	$383M

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
2025	$1.3B	$862M	50.7%	$616M	28.2%	6	6	0	0

Relationships

Advises (4)

→ PRESCOTT GROUP TRADITION FUND, L.P.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ PRESCOTT GROUP AGGRESSIVE MID CAP, L.P.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ PRESCOTT GROUP AGGRESSIVE SMALL CAP MASTER FUND, G.P,.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ PRESCOTT GROUP MID CAP, L.P.Private fundHedge Fund, IA, no longer reported
Mar 26, 2012 to Apr 11, 2013factForm ADV

Controls (4)

← FROHLICH, PHILOwnerSHAREHOLDER, ownership code D, individual
Mar 26, 2012 to Oct 16, 2024factForm ADV
← DUNHAM, MATTHEW, NICHOLASOwnerPRESIDENT, ownership code NA, individual
Mar 26, 2024 to Oct 16, 2024factForm ADV
← WALTERS, CHRISTOPHER, RICHARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2024 to Oct 16, 2024factForm ADV
← PGCM INC.OwnerMEMBER, ownership code E, domestic entity
Mar 3, 2021 to Oct 16, 2024factForm ADV

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
Prescott Group Capital Management L.L.C. reported RAUM $1.3B, up 51% from $861.7M (2025-03-26 to 2026-03-27)
Form ADVobserved 4 days ago
$437M
Occurred
Mar 26, 2024
Control person joined
Richard Christopher Walters (Chief Compliance Officer) appeared on Schedule A of Prescott Group Capital Management L.L.C.
Form ADVobserved 4 days ago
Occurred
Mar 26, 2024
Control person joined
Nicholas Matthew Dunham (President) appeared on Schedule A of Prescott Group Capital Management L.L.C.
Form ADVobserved 4 days ago
Occurred
Mar 26, 2024
Control person left
Warren Lee Brewer (Chief Compliance Officer) no longer on Schedule A of Prescott Group Capital Management L.L.C. (listed 2023-08-10, absent 2024-03-26)
Form ADVobserved 4 days ago
Occurred
Mar 17, 2022
Regulatory AUM changed
Prescott Group Capital Management L.L.C. reported RAUM $555.0M, up 44% from $384.4M (2021-03-03 to 2022-03-17)
Form ADVobserved 4 days ago
$171M
Occurred
Mar 3, 2021
Control person left
David Jeffrey Watkins (Chief Compliance Officer) no longer on Schedule A of Prescott Group Capital Management L.L.C. (listed 2020-03-12, absent 2021-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 3, 2021
Control person left
Ronald Dennis Nickel (Trustee) no longer on Schedule A of Prescott Group Capital Management L.L.C. (listed 2020-03-12, absent 2021-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 3, 2021
Control person joined
Warren Lee Brewer (Chief Compliance Officer) appeared on Schedule A of Prescott Group Capital Management L.L.C.
Form ADVobserved 4 days ago
Occurred
Mar 12, 2020
Regulatory AUM changed
Prescott Group Capital Management L.L.C. reported RAUM $418.9M, down 27% from $576.1M (2019-03-05 to 2020-03-12)
Form ADVobserved 4 days ago
$-157M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b58ffb7-e266-39e8-e3bf-f7a960383ebb
First observed: Mar 26, 2012
Last observed: Mar 27, 2026 5 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.

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

CRD 115220

TULSA, OK

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:8b58ffb7-e266-39e8-e3bf-f7a960383ebb

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PRESCOTT GROUP AGGRESSIVE SMALL CAP MASTER FUND, G.P,.

Hedge Fund

$400M

Oct 16, 2024

Mar 26, 2012

reported

n/a

PRESCOTT GROUP AGGRESSIVE MID CAP, L.P.

Hedge Fund

$391M

Oct 16, 2024

Mar 26, 2012

reported

n/a

PRESCOTT GROUP TRADITION FUND, L.P.

Hedge Fund

$15.9M

Oct 16, 2024

Mar 26, 2012

reported

n/a

PRESCOTT GROUP MID CAP, L.P.

Hedge Fund

$4.6M

Apr 11, 2013

Mar 26, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUNHAM, MATTHEW, NICHOLAS

President

yes

01/2024

Mar 26, 2024

Oct 16, 2024

FROHLICH, PHIL

Shareholder

yes

07/2020

Mar 26, 2012

Oct 16, 2024

FROHLICH, PHIL

Member

yes

11/1998

Mar 26, 2012

Oct 16, 2024

PGCM INC.

Member

yes

07/2020

Mar 3, 2021

Oct 16, 2024

WALTERS, CHRISTOPHER, RICHARD

CHIEF COMPLIANCE OFFICER

yes

01/2024

Mar 26, 2024

Oct 16, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$1.3B

n/a

2024

Mar 26, 2025

$862M

n/a

2023

Mar 26, 2024

$727M

2022

Mar 30, 2023

$616M

2021

Mar 17, 2022

$555M

2020

Mar 3, 2021

$384M

2019

Mar 12, 2020

$419M

2018

Mar 5, 2019

$576M

2017

Mar 15, 2018

$548M

2016

Mar 15, 2017

$530M

n/a

$530M

2015

Mar 21, 2016

$471M

n/a

$471M

2014

Mar 20, 2015

$662M

n/a

$662M

2013

Mar 21, 2014

$577M

n/a

$577M

2012

Mar 18, 2013

$399M

n/a

$399M

2011

Mar 26, 2012

$383M

n/a

$383M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.3B

$862M

50.7%

$616M

28.2%