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
Prysm Capital, L.P.
Latest filing Mar 30, 2026
First filing on the tape Nov 16, 2020 · 10 filings
SEC status approved since Dec 17, 2020
RAUM
$6.9B
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
14
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
21
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$6.9B as of Mar 30, 2026
Mar 23, 2021$168M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 23, 20210 then
Employees (5.A)14 as of Mar 30, 2026
Mar 23, 20215 then
Private funds21 as of Mar 30, 2026
Mar 23, 20214 then
RAUM +101% over the last fiscal year+102% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $327MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +101%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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 vehiclesreportedItem 5.G
- Custody
- $6.9B, 21 clientsreportedItem 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)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.9B for 21 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
29 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Triangle Investment Opportunities, L.P. | Private Equity Fund | $664M | 2 | Mar 21, 2024 |
| Prysm Capital Fund I LPno longer reported | Private Equity Fund | $247M | 56 | Mar 29, 2022 |
| Prysm Capital Fund I LP | Private Equity Fund | $247M | 56 | Mar 29, 2023 |
| Cheetah Investment Holdings-K LLC | Private Equity Fund | $126M | 2 | Mar 29, 2023 |
| Puppy Investment Holdings-K LLC | Private Equity Fund | $125M | 2 | Mar 29, 2023 |
| Otv Falcon Investment Holdings-K LLC | Private Equity Fund | $84.2M | 2 | Mar 29, 2023 |
| Ibex (D) Investment Holdings-K LLC | Private Equity Fund | $76.4M | 2 | Mar 29, 2022 |
| Goat Investment Holdings-K LLC | Private Equity Fund | $31.6M | 2 | Mar 29, 2023 |
| Eagle Investment Holdings-K II LLC | Private Equity Fund | $23.4M | 2 | Mar 29, 2023 |
| Otter Investment Holdings-K LLC | Private Equity Fund | $17.5M | 2 | Mar 29, 2023 |
| Cobra Investment Holdings-K LLC | Private Equity Fund | $15.8M | 3 | Mar 29, 2022 |
| Aragorn Investment Holdings-K LLC | Private Equity Fund | $15.3M | 2 | Mar 29, 2023 |
| Quail Investment Holdings LLC | Private Equity Fund | $13.4M | 6 | Nov 16, 2020 |
| Cheetah Investment Holdings LLC | Private Equity Fund | $10.0M | 1 | Mar 29, 2023 |
| Eagle Investment Holdings-K LLC | Private Equity Fund | $8.9M | 2 | Mar 29, 2022 |
| Puppy Investment Holdings LLC | Private Equity Fund | $7.1M | 9 | Mar 29, 2023 |
| Eraser Investment Holdings LLC | Private Equity Fund | $5.4M | 1 | Mar 21, 2024 |
| Iguana Investment Holdings LLC | Private Equity Fund | $3.3M | 1 | Mar 21, 2024 |
| Eagle Investment Holdings II LLC | Private Equity Fund | $2.9M | 2 | Mar 29, 2023 |
| Rhino (F) Investment Holdings LLC | Private Equity Fund | $316,821 | 80 | Mar 29, 2022 |
| Rhino Investment Holdings LLC | Private Equity Fund | $242,149 | 62 | Nov 16, 2020 |
| Rhino (F) Investment Holdings-K LLC | Private Equity Fund | $71,264 | 2 | Mar 29, 2022 |
| Rhino Ipo Investment Holdings LLCno longer reported | Private Equity Fund | $59,371 | 1 | Mar 29, 2022 |
| Rhino Convertible Investment Holdings-K LLC | Private Equity Fund | $37,020 | 2 | Mar 29, 2022 |
| Rhino Convertible Investment Holdings LLC | Private Equity Fund | $31,451 | 14 | Mar 29, 2022 |
| Rhino Convertible Investment Holdings-A LLC | Private Equity Fund | $22,518 | 11 | Mar 29, 2022 |
| Rhino Investment Holdings-A LLC | Private Equity Fund | $18,711 | 53 | Nov 16, 2020 |
| Rhino (E) Investment Holdings LLC | Private Equity Fund | $14,387 | 1 | Nov 16, 2020 |
| Medicine Investment Holdings-K LLC | Private Equity Fund | $883 | 2 | Mar 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Bernadette Mary Mentor · Chief Financial Officer, Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Sohail Muhammad Mian · Limited Partner, Partnercontrolsince 06/2019 · owns 25% to 50%
- Emily Lauren Moffatt · Partnercontrolsince 03/2023 · owns less than 5%
- Jong Ha Jay Park · Limited Partner And Managing Partnercontrolsince 06/2019 · owns 25% to 50%
- Charles Matthew Roberts · Limited Partner And Partnercontrolsince 06/2019 · owns 25% to 50%
- Sohail Muhammad Mian · Membercontrolsince 06/2019 · owns 25% to 50% of Prysm Capital, LLC
- Jong Ha Jay Park · Membercontrolsince 06/2019 · owns 25% to 50% of Prysm Capital, LLC
- Charles Matthew Roberts · Membercontrolsince 06/2019 · owns 25% to 50% of Prysm Capital, LLC
Entity owners
- Prysm Capital, LLC · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Aragorn Investment Manager LLCpooled vehicle sponsorn
- Cheetah Investment Manager LLCpooled vehicle sponsorn
- Cobra Investment Manager LLCpooled vehicle sponsorn
- Eagle Investment Manager II LLCpooled vehicle sponsorn
- Eagle Investment Manager LLCpooled vehicle sponsorn
- Eraser Investment Manager LLCpooled vehicle sponsorn
- Goat Investment Manager LLCpooled vehicle sponsorn
- Ibex (D) Investment Managerpooled vehicle sponsorn
- Iguana Investment Manager LLCpooled vehicle sponsorn
- Medicine Investment Manager LLCpooled vehicle sponsorn
- Otter Investment Manager LLCpooled vehicle sponsorn
- Otv Falcon Gp Investments LLCpooled vehicle sponsorn
- Otv Falcon Investment Manager LLCpooled vehicle sponsorn
- Prysm Capital Partners I, LLCpooled vehicle sponsorn
- Prysm Capital Partners I, LPpooled vehicle sponsorn
- Puppy Investment Manager LLCpooled vehicle sponsorn
- Quail Investment Manager LLCpooled vehicle sponsorn
- Rhino Investment Manager LLCpooled vehicle sponsorn
- Triangle Investment Manager LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
- San Francisco, CA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $3,413,417,519 to $6,858,372,011 (+101.0%) between the annual amendments of 2025-03-24 and 2026-03-30; the peer median change was +13.0% (631 comparable advisers, 95.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 17 to 21May 7, 2025 to Mar 30, 2026
- Pooled vehicle clients · 17 to 21May 7, 2025 to Mar 30, 2026
- Assets in custody · $3.4B to $6.9BMay 7, 2025 to Mar 30, 2026
- Employees · 13 to 14May 7, 2025 to Mar 30, 2026
- Private funds · 17 to 21May 7, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.4B to $6.9BMay 7, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.4B to $6.9BMay 7, 2025 to Mar 30, 2026
- RAUM · $3.4B to $6.9BMay 7, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 24, 2025 to May 7, 2025
- Accounts · 21 to 17Mar 21, 2024 to Mar 24, 2025
- Advisory employees · 8 to 9Mar 21, 2024 to Mar 24, 2025
- Pooled vehicle clients · 21 to 17Mar 21, 2024 to Mar 24, 2025
- Assets in custody · $1.5B to $3.4BMar 21, 2024 to Mar 24, 2025
- Employees · 12 to 13Mar 21, 2024 to Mar 24, 2025
- Private funds · 21 to 17Mar 21, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.5B to $3.4BMar 21, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $1.5B to $3.4BMar 21, 2024 to Mar 24, 2025
- RAUM · $1.5B to $3.4BMar 21, 2024 to Mar 24, 2025
- Accounts · 24 to 21Sep 11, 2023 to Mar 21, 2024
- Pooled vehicle clients · 24 to 21Sep 11, 2023 to Mar 21, 2024
- Assets in custody · $827M to $1.5BSep 11, 2023 to Mar 21, 2024
- Employees · 10 to 12Sep 11, 2023 to Mar 21, 2024
- Private funds · 24 to 21Sep 11, 2023 to Mar 21, 2024
- Discretionary RAUM · $827M to $1.5BSep 11, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $827M to $1.5BSep 11, 2023 to Mar 21, 2024
- RAUM · $827M to $1.5BSep 11, 2023 to Mar 21, 2024
- Accounts · 15 to 24Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 7 to 8Mar 29, 2022 to Mar 29, 2023
- Pooled vehicle clients · 15 to 24Mar 29, 2022 to Mar 29, 2023
- Assets in custody · $1.1B to $827MMar 29, 2022 to Mar 29, 2023
- Employees · 9 to 10Mar 29, 2022 to Mar 29, 2023
- Private funds · 15 to 24Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.1B to $827MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.1B to $827MMar 29, 2022 to Mar 29, 2023
- RAUM · $1.1B to $827MMar 29, 2022 to Mar 29, 2023
- Accounts · 5 to 15Mar 24, 2021 to Mar 29, 2022
- Advisory employees · 4 to 7Mar 24, 2021 to Mar 29, 2022
- Pooled vehicle clients · 5 to 15Mar 24, 2021 to Mar 29, 2022
- Assets in custody · $157M to $1.1BMar 24, 2021 to Mar 29, 2022
- Employees · 5 to 9Mar 24, 2021 to Mar 29, 2022
Signals
7 dated events
- Prysm Capital, L.P. reported RAUM $6.9B, up 101% from $3.4B (2025-05-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Prysm Capital, L.P. reported RAUM $3.4B, up 131% from $1.5B (2024-03-21 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- Prysm Capital, L.P. reported RAUM $1.5B, up 79% from $826.8M (2023-09-11 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- Emily Lauren Moffatt (Partner) appeared on Schedule A of Prysm Capital, L.P.Mar 29, 2023 · Control person joined · fact
- Bernadette Mary Mentor (Chief Financial Officer, Chief Compliance Officer) appeared on Schedule A of Prysm Capital, L.P.Mar 29, 2023 · Control person joined · fact
- Prysm Capital, L.P. reported RAUM $1.1B, up 551% from $167.6M (2021-03-24 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Prysm Capital, L.P. filed its initial SEC registration (Form ADV)Nov 16, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Prysm Capital, L.P. · Independent Sponsorsshared crd · capital_provider
- Prysm Capital, L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/prysm-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- prysmcapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 609-651-5125reportedpublic record, Form ADV, Mar 30, 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