Prospect Capital Advisors, LLC

Registered adviser

CIK

1632368

Location

Sausalito, CA

Portfolio Value

Small $220,245,822

Diversification

Diversified

Filing Date

Global Rank

#6,201 / 8,819 ▲ 210

Top Industry

Gambling 11.9%

Period ended 4 months ago

Filed Aug 14, 2026 · 3mo

26 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 119531

Roster of Oct 1, 2026

Regulatory AUM

$309,360,013

Main clients

Pooled investment vehicles (100% of AUM)

Private funds

2 funds · Hedge funds

Focus by fund count, roster of Oct 1, 2026

$302,426,193 gross assets

Private funds on Schedule D 7.B.(1)

As filed Mar 29, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

$412,953,243 gross assets in 2 funds Hedge funds $412,953,243 (2)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$309,360,013	Pooled investment vehicles (100%)
Apr 2025 to Mar 2026	$288,032,681	Pooled investment vehicles (100%)
Apr 2024 to Mar 2025	$439,718,388	Pooled investment vehicles (100%)
May 2023 to Mar 2024	$390,818,276	Pooled investment vehicles (100%)
Apr 2023	$390,818,276	Pooled investment vehicles (100%)
Apr 2022 to Mar 2023	$449,788,000	Pooled investment vehicles (100%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Diversified active

Top 10 weight 58.0%, 22.0 effective positions, active share 97.1% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

43.9% over the last four quarters (30% to under 100%)

Horizon

Long horizon

Value-weighted holding period 13.2 quarters (12+), a floor since 31.3% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 97.1%; sector active share 28.3% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

30 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

8.6%

+1.0 pts

Top 5

33.0%

−2.5 pts

Top 10

58.0%

−2.7 pts

HHI

455

Diversified−28

Portfolio Trend

26 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Technology	35.3%	$77,744,866	11
Financial Services	15.3%	$33,750,621	2
Consumer Cyclical	13.9%	$30,586,996	3
Industrials	13.2%	$29,127,654	6
Consumer Defensive	11.5%	$25,285,498	3
Healthcare	5.0%	$11,041,990	2
Communication Services	3.4%	$7,565,557	2
Real Estate	2.3%	$5,142,640	1

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

10 positions

Ticker	Company	Δ Shares	Shares	Value
BLND	Blend Labs, Inc.	+368,850	1,100,300	$1,881,513
ARLO	Arlo Technologies, Inc.	+132,000	497,750	$6,709,670
OPLN	OPENLANE, Inc.	+21,150	104,750	$4,319,890
IDCC	InterDigital, Inc.	+15,260	36,680	$10,385,208
FSS	Federal Signal Corp	+9,140	39,300	$5,049,657
OSIS	Osi Systems Inc	+8,155	57,640	$12,605,868
SGHC	Super Group (SGHC) Ltd	+5,000	1,047,100	$14,188,205
LOPE	Grand Canyon Education, Inc.	+2,795	83,265	$11,916,054
DIOD	Diodes Inc	+2,750	44,550	$4,875,552
MSFT	Microsoft Corp	+470	15,190	$5,666,173
No positions match the current search.

Trimmed

Positions the filer reduced

9 positions

Ticker	Company	Δ Shares	Shares	Value
RSI	Rush Street Interactive, Inc.	−76,350	406,150	$12,078,901
SIMO	Silicon Motion Technology CORP	−45,580	36,660	$12,219,877
GPGI	GPGI, Inc.	−30,750	209,560	$3,321,526
DAVE	Dave Inc.	−28,655	23,585	$8,787,535
IMAX	Imax Corp	−16,200	156,200	$6,226,132
TTMI	Ttm Technologies Inc	−12,860	62,900	$11,763,558
LSCC	Lattice Semiconductor Corp	−10,330	39,300	$6,011,328
ENVA	Enova International, Inc.	−10,220	78,610	$18,923,785
BLBD	Blue Bird Corp	−2,310	94,330	$7,448,296
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
ETON	Eton Pharmaceuticals, Inc.	157,200	$5,690,640
FENC	Fennec Pharmaceuticals Inc.	497,800	$5,351,350
PRE	Prenetics Global Ltd	235,800	$4,508,496
NVEC	Nve Corp	15,720	$1,643,526
No positions match the current search.

Sold Out

Positions the filer fully exited

2 positions

Ticker	Company	Shares	Value
CELH	Celsius Holdings, Inc.	130,600	$4,633,688
INMD	InMode Ltd.	313,450	$4,287,996
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

30 tracked positions · $220,245,822 total · filing declares 59 positions · $220,245,828 · as of Jun 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Financial Services Healthcare Industrials Real Estate Technology

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
ENVA	Enova International, Inc. Financial Services	Reduced	78,610	-10,220	$18,923,785	+56.8%	11	$52.57	8.59%
PJT	PJT Partners Inc. Financial Services	Held	98,230	0	$14,826,836	+8.0%	26+	before history	6.73%
SGHC	Super Group (SGHC) Ltd Consumer Cyclical	Added	1,047,100	+5,000	$14,188,205	+26.1%	3	$11.48	6.44%
OSIS	Osi Systems Inc Technology	Added	57,640	+8,155	$12,605,868	−4.1%	26+	before history	5.72%
SIMO	Silicon Motion Technology CORP Technology	Reduced	36,660	-45,580	$12,219,877	+32.3%	26+	before history	5.55%
RSI	Rush Street Interactive, Inc. Consumer Cyclical	Reduced	406,150	-76,350	$12,078,901	+15.1%	7	$13.31	5.48%
LOPE	Grand Canyon Education, Inc. Consumer Defensive	Added	83,265	+2,795	$11,916,054	−12.9%	26+	before history	5.41%
TTMI	Ttm Technologies Inc Technology	Reduced	62,900	-12,860	$11,763,558	+59.4%	9	$17.37	5.34%
IDCC	InterDigital, Inc. Technology	Added	36,680	+15,260	$10,385,208	+60.5%	9	$190.13	4.72%
TPB	Turning Point Brands, Inc. Consumer Defensive	Held	104,480	0	$8,860,948	−2.3%	5	$85.65	4.02%
DAVE	Dave Inc. Technology	Reduced	23,585	-28,655	$8,787,535	−3.4%	5	$191.52	3.99%
BLBD	Blue Bird Corp Industrials	Reduced	94,330	-2,310	$7,448,296	+35.7%	12	$20.89	3.38%
ARLO	Arlo Technologies, Inc. Industrials	Added	497,750	+132,000	$6,709,670	+28.9%	13	$10.79	3.05%
IMAX	Imax Corp Communication Services	Reduced	156,200	-16,200	$6,226,132	−5.0%	8	$20.72	2.83%
LSCC	Lattice Semiconductor Corp Technology	Reduced	39,300	-10,330	$6,011,328	+30.6%	8	$61.21	2.73%
ETON	Eton Pharmaceuticals, Inc. Healthcare	NEW	157,200	NEW	$5,690,640	NEW	1	$29.32	2.58%
MSFT	Microsoft Corp Technology	Added	15,190	+470	$5,666,173	+4.0%	26+	before history	2.57%
FENC	Fennec Pharmaceuticals Inc. Healthcare	NEW	497,800	NEW	$5,351,350	NEW	1	$8.16	2.43%
AMT	American Tower Corp Real Estate	Held	31,440	0	$5,142,640	−5.2%	26+	before history	2.33%
FSS	Federal Signal Corp Industrials	Added	39,300	+9,140	$5,049,657	+54.8%	16	$71.16	2.29%
DIOD	Diodes Inc Technology	Added	44,550	+2,750	$4,875,552	+70.9%	2	$65.45	2.21%
PRE	Prenetics Global Ltd Consumer Defensive	NEW	235,800	NEW	$4,508,496	NEW	1	$18.48	2.05%
OPLN	OPENLANE, Inc. Consumer Cyclical	Added	104,750	+21,150	$4,319,890	+77.3%	2	$30.10	1.96%
POOL	Pool Corp Industrials	Held	15,560	0	$3,343,844	+6.2%	26+	before history	1.52%
GPGI	GPGI, Inc. Industrials	Reduced	209,560	-30,750	$3,321,526	−19.2%	8	unpriced	1.51%
WSO	Watsco Inc Industrials	Held	7,810	0	$3,254,661	+14.6%	17	$339.53	1.48%
FIVN	Five9, Inc. Technology	Held	89,340	0	$1,904,728	+40.5%	26+	before history	0.86%
BLND	Blend Labs, Inc. Technology	Added	1,100,300	+368,850	$1,881,513	+51.3%	5	$2.89	0.85%
NVEC	Nve Corp Technology	NEW	15,720	NEW	$1,643,526	NEW	1	$91.01	0.75%
NXST	Nexstar Media Group, Inc. Communication Services	Held	7,500	0	$1,339,425	−1.2%	26+	before history	0.61%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.