DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Prescott Group Capital Management L.L.C.
Latest filing Mar 27, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since Oct 22, 2001
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2026
Mar 26, 2012$383M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 18, 20138 then
Private funds3 as of Mar 27, 2026
Mar 26, 20124 then
RAUM +51% over the last fiscal year+28% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $260MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B84%
- Charitable organizations$206M16%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.84 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Prescott Group Aggressive Small Cap Master Fund, G.P,. | Hedge Fund | $400M | 81 | Mar 26, 2012 |
| Prescott Group Aggressive Mid Cap, L.P. | Hedge Fund | $391M | 79 | Mar 26, 2012 |
| Prescott Group Tradition Fund, L.P. | Hedge Fund | $15.9M | 8 | Mar 26, 2012 |
| Prescott Group Mid Cap, L.P.no longer reported | Hedge Fund | $4.6M | 14 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Nicholas Matthew Dunham · Presidentcontrolsince 01/2024 · owns less than 5%
- Phil Frohlich · Membercontrolsince 11/1998 · owns less than 5%
- Richard Christopher Walters · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Phil Frohlich · Shareholdercontrolsince 07/2020 · owns 50% to 75% of Pgcm Inc.
Entity owners
- Pgcm Inc. · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- State-registered IARs · 2 to 0Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $862M to $1.3BMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $841M to $1.1BMar 26, 2025 to Mar 27, 2026
- RAUM · $862M to $1.3BMar 26, 2025 to Mar 27, 2026
- Financial planning clients · unset to Oct 16, 2024 to Mar 26, 2025
- Discretionary RAUM · $826M to $862MOct 16, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $806M to $841MOct 16, 2024 to Mar 26, 2025
- RAUM · $826M to $862MOct 16, 2024 to Mar 26, 2025
- Accounts · 4 to 5Mar 26, 2024 to Oct 16, 2024
- Advisory employees · 3 to 2Mar 26, 2024 to Oct 16, 2024
- Employees · 7 to 6Mar 26, 2024 to Oct 16, 2024
- Discretionary RAUM · $727M to $826MMar 26, 2024 to Oct 16, 2024
- Pooled vehicle RAUM · $727M to $806MMar 26, 2024 to Oct 16, 2024
- RAUM · $727M to $826MMar 26, 2024 to Oct 16, 2024
- Advisory activities · 1 to 2Aug 10, 2023 to Mar 26, 2024
- Charity clients · unset to 1.0Aug 10, 2023 to Mar 26, 2024
- Employees · 6 to 7Aug 10, 2023 to Mar 26, 2024
- State-registered IARs · 1 to 2Aug 10, 2023 to Mar 26, 2024
- Discretionary RAUM · $616M to $727MAug 10, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $616M to $727MAug 10, 2023 to Mar 26, 2024
- RAUM · $616M to $727MAug 10, 2023 to Mar 26, 2024
- Employees · 5 to 6Mar 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $555M to $616MMar 17, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $555M to $616MMar 17, 2022 to Mar 30, 2023
- RAUM · $555M to $616MMar 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $384M to $555MMar 3, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $384M to $555MMar 3, 2021 to Mar 17, 2022
- RAUM · $384M to $555MMar 3, 2021 to Mar 17, 2022
- Advisory employees · 4 to 3Mar 12, 2020 to Mar 3, 2021
- Employees · 6 to 5Mar 12, 2020 to Mar 3, 2021
- State-registered IARs · 2 to 1Mar 12, 2020 to Mar 3, 2021
- Discretionary RAUM · $419M to $384MMar 12, 2020 to Mar 3, 2021
- Pooled vehicle RAUM · $419M to $384MMar 12, 2020 to Mar 3, 2021
- RAUM · $419M to $384MMar 12, 2020 to Mar 3, 2021
- Discretionary RAUM · $576M to $419MMar 5, 2019 to Mar 12, 2020
- Pooled vehicle RAUM · $576M to $419MMar 5, 2019 to Mar 12, 2020
- RAUM · $576M to $419MMar 5, 2019 to Mar 12, 2020
- Custody of client assets · false to trueMar 15, 2018 to Mar 5, 2019
- Discretionary RAUM · $548M to $576MMar 15, 2018 to Mar 5, 2019
- Pooled vehicle RAUM · $548M to $576MMar 15, 2018 to Mar 5, 2019
Signals
9 dated events
- Prescott Group Capital Management L.L.C. reported RAUM $1.3B, up 51% from $861.7M (2025-03-26 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Richard Christopher Walters (Chief Compliance Officer) appeared on Schedule A of Prescott Group Capital Management L.L.C.Mar 26, 2024 · Control person joined · fact
- Nicholas Matthew Dunham (President) appeared on Schedule A of Prescott Group Capital Management L.L.C.Mar 26, 2024 · Control person joined · fact
- 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)Mar 26, 2024 · Control person left · inference
- Prescott Group Capital Management L.L.C. reported RAUM $555.0M, up 44% from $384.4M (2021-03-03 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- 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)Mar 3, 2021 · Control person left · inference
- 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)Mar 3, 2021 · Control person left · inference
- Warren Lee Brewer (Chief Compliance Officer) appeared on Schedule A of Prescott Group Capital Management L.L.C.Mar 3, 2021 · Control person joined · fact
- Prescott Group Capital Management L.L.C. reported RAUM $418.9M, down 27% from $576.1M (2019-03-05 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- PRESCOTTCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 918-747-3412reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026