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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

PROSPECT CAPITAL MANAGEMENT L.P.

CRD 131018

WEST PALM BEACH, FL

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:ef275799-b370-4ff7-497c-c4b68e0ff1d2

Data as of Aug 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 13, 2012 to Aug 21, 2026
25 observations

Across DFX

name candidates only

Private Creditcandidate

PROSPECT CAPITAL MANAGEMENT L.P.

Credit provider · name unique adv

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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0
Regulatory AUM: $6.6BItem 5.F on the latest filing (2026-08-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.6B
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: 143
Advisory employees: 44
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 4
Individual clients: 0
High net worth clients: 0
SEC number: 801-62969
CRD: 131018
Filings on the tape: 25
First filed: Mar 13, 2012
Latest filed: Aug 21, 2026
Organised: Limited Partnership, DE

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
BARRY, JOHN, FRANCIS	Ceo	E	yes	03/2004	Mar 13, 2012	Jun 14, 2024
BLACKMAN, PATRICIA, LYNN	DEPUTY COMPLIANCE OFFICER	Na	no	03/2018	Mar 29, 2018	Jun 14, 2024
WININGER, RUSSELL, LAWRENCE	CHIEF COMPLIANCE OFFICER	Na	no	06/2024	Jun 14, 2024	Jun 14, 2024

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
PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLC	n/a	Asset manager	$479M	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	35	no
Darien	Ct	United States	5	no

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 25, 2026	$6.6B	$6.6B	143	44	2	n/a	n/a
2024	Mar 27, 2025	$7.2B	$7.2B	155	61	2	n/a	n/a
2023	Mar 26, 2024	$7.8B	$7.8B	124	50	2	n/a	n/a
2022	Mar 28, 2023	$7.9B	$7.9B	105	53	2	n/a	n/a
2021	Mar 25, 2022	$7.1B	$7.1B	97	47	2	n/a	n/a
2020	Mar 29, 2021	$5.7B	$5.7B	96	41	2	n/a	n/a
2019	Mar 27, 2020	$5.4B	$5.4B	103	49	0	n/a	n/a
2018	Mar 29, 2019	$6.0B	$6.0B	106	55	1	n/a	n/a
2017	Mar 29, 2018	$5.9B	$5.9B	84	37	1	n/a	n/a
2016	Mar 31, 2017	$6.2B	$6.2B	85	35	n/a	n/a	n/a
2015	Mar 30, 2016	$6.3B	$6.3B	90	39	n/a	n/a	n/a
2014	Mar 27, 2015	$6.7B	$6.7B	84	35	n/a	n/a	n/a
2013	Mar 31, 2014	$5.2B	$5.2B	38	37	n/a	n/a	n/a
2012	Apr 1, 2013	$3.5B	$3.5B	35	31	n/a	n/a	n/a
2011	Mar 13, 2012	$1.8B	$1.8B	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
2025	$6.6B	$7.2B	-8.2%	$7.9B	-5.7%	143	155	2	2

Relationships

Affiliated with (5)

→ PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLCRegistered adviserother investment adviser, control
factForm ADV
← PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLCRegistered adviserother investment adviser, control
factForm ADV
← PROSPECT CREDIT REIT ADVISOR, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← PROSPECT FLEXIBLE INCOME MANAGEMENT, LLCRegistered adviserother investment adviser, control
factForm ADV
← PATHWAY CAPITAL OPPORTUNITY FUND MANAGEMENT, LLCRegistered adviserother investment adviser, control
factForm ADV

Owns (2)

← BLACKMAN, PATRICIA, LYNNOwnerDEPUTY COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2018 to Jun 14, 2024factForm ADV
← WININGER, RUSSELL, LAWRENCEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 14, 2024 to Jun 14, 2024factForm ADV

Controls (1)

← BARRY, JOHN, FRANCISOwnerCEO, ownership code E, individual
Mar 13, 2012 to Jun 14, 2024factForm ADV

Dated events

Occurred
Mar 27, 2015
Succession filed (Item 4)
Prospect Capital Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef275799-b370-4ff7-497c-c4b68e0ff1d2
First observed: Mar 13, 2012
Last observed: Aug 21, 2026 29 days 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 CAPITAL MANAGEMENT L.P.

CRD 131018

WEST PALM BEACH, FL

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:ef275799-b370-4ff7-497c-c4b68e0ff1d2

Data as of Aug 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRY, JOHN, FRANCIS

Ceo

yes

03/2004

Mar 13, 2012

Jun 14, 2024

BLACKMAN, PATRICIA, LYNN

DEPUTY COMPLIANCE OFFICER

03/2018

Mar 29, 2018

Jun 14, 2024

WININGER, RUSSELL, LAWRENCE

CHIEF COMPLIANCE OFFICER

06/2024

Jun 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLC

n/a

Asset manager

$479M

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Darien

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$6.6B

143

n/a

2024

Mar 27, 2025

$7.2B

155

n/a

2023

Mar 26, 2024

$7.8B

124

n/a

2022

Mar 28, 2023

$7.9B

105

n/a

2021

Mar 25, 2022

$7.1B

n/a

2020

Mar 29, 2021

$5.7B

n/a

2019

Mar 27, 2020

$5.4B

103

n/a

2018

Mar 29, 2019

$6.0B

106

n/a

2017

Mar 29, 2018

$5.9B

n/a

2016

Mar 31, 2017

$6.2B

n/a

2015

Mar 30, 2016

$6.3B

n/a

2014

Mar 27, 2015

$6.7B

n/a

2013

Mar 31, 2014

$5.2B

n/a

2012

Apr 1, 2013

$3.5B

n/a

2011

Mar 13, 2012

$1.8B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$6.6B

$7.2B

-8.2%

$7.9B

-5.7%

143

155