Prospect Ridge
Registered investment adviser · New York, NY · CRD #299594
Form ADV data as of 2026-09-01Regulatory assets
$5.81 billion
Total accounts
30
Employees
44
Disclosure events
0
Firm details
- Website: https://www.prospectridge.com/
- Telephone: 415-393-5316
- SEC file number: 801-114474
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $5.67 billion |
| Non-discretionary regulatory assets under management | $136.0 million |
| Total regulatory assets under management | $5.81 billion |
| Discretionary accounts | 29 |
| Non-discretionary accounts | 1 |
| Total accounts | 30 |
| Regulatory assets under management attributable to non-U.S. persons | $603.1 million |
People
| Total employees (excluding clerical) | 44 |
| Employees performing investment advisory functions (including research) | 44 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $3.17 billion |
| Clients for whom the firm has custody | 30 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 3 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pooled investment vehicles (other than investment companies and BDCs) | 30 | $5.81 billion |