9AT: PROSPECT CAPITAL ADVISORS, LLC

other names

PROSPECT CAPITAL ADVISORS, LLC
OMT HEDGE LLC

Adviser Profile

As of Date	03/31/2026
ADV Location	SAUSALITO, CA, United States
Adviser Type - Large advisory firm
Number of Employees	4 33%
of those in investment advisory functions	2 100%
Registration	SEC, Approved, 06/30/2015
Other registrations (1)	California, Terminated, 09/02/2015

AUM^*	309,360,013 -30%
of that, discretionary	309,360,013 -30%
Private Fund GAV^*	302,426,193 9%
Avg Account Size	103,120,004 -6%
SMA’s	No
Private Funds	2
Contact Info	(41 xxxxxxx

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypeHedge Fund	Count2	GAV$302,426,193

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser WESTERN STANDARD, LLC	Hedge Fund366.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV366.2m	AUM574.9m	#Funds2
Adviser BLACK SWIFT GROUP, LLC	Hedge Fund77.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV77.3m	AUM694.1m	#Funds4
Adviser SOLSTEIN CAPITAL, LLC	Hedge Fund5.6m	Liquidity Fund40.0m	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV45.6m	AUM801.8m	#Funds2
Adviser SELDON CAPITAL LP	Hedge Fund401.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV401.8m	AUM517.8m	#Funds3
Adviser SAGE ROCK CAPITAL MANAGEMENT LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM86.5m	#Funds-
Adviser RHINO INVESTMENT PARTNERS, INC.	Hedge Fund254.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV254.5m	AUM566.2m	#Funds4
Adviser TOWER BAY ASSET MANAGEMENT LP	Hedge Fund213.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV213.7m	AUM513.6m	#Funds4
Adviser NUMERAI	Hedge Fund1.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.9b	#Funds11
Adviser CARL MARKS MANAGEMENT COMPANY, LLC	Hedge Fund296.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV296.5m	AUM374.5m	#Funds4
Adviser SUN VALLEY GOLD LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM87.0m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker69343T107	Stock NamePJT PARTNERS INC	$ Position$15,466,000	% Position8.00%	$ Change2365.00%	# Change2520.00%
Stck Ticker671044105	Stock NameOSI SYSTEMS INC	$ Position$12,753,000	% Position7.00%	$ Change2478.00%	# Change2419.00%
Stck Ticker29357K103	Stock NameENOVA INTL INC	$ Position$12,733,200	% Position7.00%	$ Change3379.00%	# Change2447.00%
Stck Ticker38526M106	Stock NameGRAND CANYON ED INC	$ Position$12,473,250	% Position6.00%	$ Change-16.00%	# Change11.00%
Stck Ticker90041L105	Stock NameTURNING PT BRANDS INC	$ Position$12,466,000	% Position6.00%	$ Change40.00%	# Change28.00%
Stck Ticker45245E109	Stock NameIMAX CORP	$ Position$8,870,400	% Position5.00%	$ Change2664.00%	# Change2349.00%
Stck Ticker45867G101	Stock NameINTERDIGITAL INC	$ Position$8,596,260	% Position4.00%	$ Change-13.00%	# Change-5.00%
Stck Ticker04206A101	Stock NameARLO TECHNOLOGIES INC	$ Position$6,995,000	% Position4.00%	$ Change1938.00%	# Change2369.00%
Stck Ticker23834J201	Stock NameDAVE INC	$ Position$7,970,760	% Position4.00%	$ Change0.00%	# Change-10.00%
Stck Ticker82706C108	Stock NameSILICON MOTION TECHNOLOGY CO	$ Position$7,879,500	% Position4.00%	$ Change-2.00%	# Change0.00%

Brochure Summary

Overview

Advisory Business Prospect Capital Advisors, LLC is currently registered as an investment adviser with the SEC. From January 2001 to June 2015, the Firm was registered with the State of California Department of Business Oversight. Daniel W. Mendoza is the principal owner and Managing Member of Prospect. Advisory Services Prospect serves as the general partner and investment adviser to Prospect Advisors, L.P. and Prospect Advisors QP, L.P. (collectively, the “Funds”), which are privately-placed pooled investment vehicles. In addition, Prospect provides investment services to separately managed accounts (the “SMA(s)” or the “Client(s)”). Interests in the Funds are offered to certain qualified Investors as discussed herein. The Funds are long/short funds investing primarily in equities. The Funds’ goal is to generate absolute returns, primarily through long and short investments in publicly traded domestic equities, seeking to protect and grow assets in all market environments. Prospect’s investment philosophy is oriented towards a microeconomic approach to investment selection and risk minimization. Prospect makes investment decisions and attempts to reduce downside risk through in-depth analyses of portfolio companies. The agreement of Limited Partnership, Confidential Offering Memorandum and Subscription Application (collectively, the “Fund Documents”) for the Funds impose

no limits on the types of securities or other instruments in which the Funds may take positions, the type of positions it may take, the concentration of its investments, or the amount of “leverage” the Funds may employ. Prospect has broad discretion to employ a wide variety of investment techniques, even if they involve changes in the investment approach initially anticipated. The Funds’ investments are tailored to comply with the investment guidelines disclosed in the Fund Documents. Each potential Investor receives a complete set of Fund Documents prior to investing in the Funds. The investment strategy employed for SMAs may be similar to that of the Funds. By signing an Investment Advisory Agreement or Sub-Advisory Agreement (the “Agreement”), such Clients designate Prospect as an investment manager or sub-advisor over their account. Certain SMA Agreements impose limits or restrictions on investing in certain securities or types of securities, which is specific to the corresponding Client’s tolerance and goals. Prospect is willing to accept certain restrictions in limited and specific instances through an SMA at the direction of such Clients. Prospect does not provide portfolio management services to a wrap fee program. Assets Under Management As of December 31, 2023, Prospect has $439.7 million in discretionary regulatory assets under management. The Firm does not manage assets on a non-discretionary basis.

PROSPECT CAPITAL ADVISORS, LLC

Adviser Profile

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Overview