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.
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SEC-registered adviser
P••••••• P••••••• A••••••• L••
Latest filing May 6, 2026
First filing on the tape Mar 31, 2022 · 10 filings
SEC status approved since May 2, 2022
RAUM
$378M
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
12
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$378M as of May 6, 2026
Mar 28, 2023$260M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Mar 28, 20230 then
Employees (5.A)12 as of May 6, 2026
Mar 28, 20239 then
Private funds3 as of May 6, 2026
Mar 28, 20232 then
RAUM -38% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
- $126MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -38%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
- $378M, 3 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$378M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $378M for 3 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P• I•• C••••••••• F•••• L••• | Private Equity Fund | $308M | 17 | Mar 31, 2022 |
| P••••••• P••••••• V• L• | Private Equity Fund | $108M | 38 | Jul 19, 2024 |
| P••••••• P••••••• I•• L• | Private Equity Fund | $9.0M | 19 | Feb 13, 2012 |
| P••••••• P••••••• I••• L•no longer reported | Private Equity Fund | $800,000 | 31 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• B••••• P••••• · Membercontrolsince 10/2021 · owns 25% to 50%
- M•••••• E•••• E••••• · Chief Compliance Officer & Membercontrolsince 10/2021 · owns 25% to 50%
- O••••• B••••••• C••••• · Membercontrolsince 10/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- P••••••• P••••••• C• M••••••••• G••••• L•••pooled vehicle sponsory
- P••••••• P••••••• M••••••••• G•••• I•• L•••pooled vehicle sponsory
- P••••••• P••••••• V• G•• L•••pooled vehicle sponsory
Advisers that list P••••••• P••••••• A••••••• L•• as a related person
- 157526 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $608,000,000 to $378,400,000 (-38.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +4.0% (1147 comparable advisers, 7.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 6.6% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 10Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $608M to $378MMar 31, 2025 to Mar 30, 2026
- Employees · 11 to 12Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $608M to $378MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $608M to $378MMar 31, 2025 to Mar 30, 2026
- RAUM · $608M to $378MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 10 to 9Aug 7, 2024 to Mar 31, 2025
- Assets in custody · $425M to $608MAug 7, 2024 to Mar 31, 2025
- Employees · 12 to 11Aug 7, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 7, 2024 to Mar 31, 2025
- Discretionary RAUM · $425M to $608MAug 7, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $425M to $608MAug 7, 2024 to Mar 31, 2025
- RAUM · $425M to $608MAug 7, 2024 to Mar 31, 2025
- Accounts · 2 to 3Mar 21, 2024 to Jul 19, 2024
- Pooled vehicle clients · 2 to 3Mar 21, 2024 to Jul 19, 2024
- Assets in custody · $302M to $425MMar 21, 2024 to Jul 19, 2024
- Private funds · 2 to 3Mar 21, 2024 to Jul 19, 2024
- Discretionary RAUM · $302M to $425MMar 21, 2024 to Jul 19, 2024
- Pooled vehicle RAUM · $302M to $425MMar 21, 2024 to Jul 19, 2024
- RAUM · $302M to $425MMar 21, 2024 to Jul 19, 2024
- Advisory employees · 9 to 10Sep 12, 2023 to Mar 21, 2024
- Assets in custody · $260M to $302MSep 12, 2023 to Mar 21, 2024
- Employees · 9 to 12Sep 12, 2023 to Mar 21, 2024
- Discretionary RAUM · $260M to $302MSep 12, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $260M to $302MSep 12, 2023 to Mar 21, 2024
- RAUM · $260M to $302MSep 12, 2023 to Mar 21, 2024
- Accounts · 3 to 2Jun 3, 2022 to Mar 28, 2023
- Pooled vehicle clients · 3 to 2Jun 3, 2022 to Mar 28, 2023
- Assets in custody · $172M to $260MJun 3, 2022 to Mar 28, 2023
- Private funds · 3 to 2Jun 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $172M to $260MJun 3, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $172M to $260MJun 3, 2022 to Mar 28, 2023
- RAUM · $172M to $260MJun 3, 2022 to Mar 28, 2023
Signals
6 dated events
- P••••••• P••••••• A••••••• L•• reported RAUM $378.4M, down 38% from $608.0M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- P••••••• P••••••• A••••••• L•• reported RAUM $608.0M, up 43% from $425.0M (2024-08-07 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- P••••••• P••••••• A••••••• L•• reported RAUM $425.0M, up 41% from $301.8M (2024-03-21 to 2024-07-19)Jul 19, 2024 · RAUM change · derived
- Brett Holcomb (Member) appeared on Schedule A of P••••••• P••••••• A••••••• L••Sep 12, 2023 · Control person joined · fact
- Curtis Bradley Odell (Member) appeared on Schedule A of P••••••• P••••••• A••••••• L••Sep 12, 2023 · Control person joined · fact
- P••••••• P••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• P••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• P••••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/prospect-partners-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P•••••••-PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (312) 782-7400reportedpublic record, Form ADV, May 6, 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