Prescott Group Capital Management L.L.C. (Tulsa)

Name: Prescott Group Capital Management L.L.C.
Address: 1924 S. Utica, Tulsa, OK, 74104
Telephone: 918-747-3412

Prescott Group Capital Management L.L.C. is a large advisory firm based in Tulsa. It manages $576.09 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Oklahoma.

Prescott Group Capital Management L.L.C provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Prescott Group Capital Management L.L.C: assets under management

The assets under management (AUM) of Prescott Group Capital Management L.L.C. is $576.09 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 577% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $576.09 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $144.02 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Prescott Group Capital Management L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Prescott Group Capital Management L.L.C serves?

The only and largest group of clients of Prescott Group Capital Management L.L.C is pooled investment vehicles with 4 clients and $576.09 million of assets under management. Among the 9 most similar advisory firms, Prescott Group Capital Management L.L.C has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $576.09 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Prescott Group Capital Management L.L.C also advises several private funds. Namely, three hedge funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $400,000.

Careers at Prescott Group Capital Management L.L.C.

The company employs 6 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Phil Frohlich	Member	1 Nov 1998	50% - 75%	4552964
L.L.C. Siegfried Ventures	Member	1 Nov 1998	50% - 75%	73-1542532
Jeffrey David Watkins	Chief compliance officer	1 Jul 2004	Other	1697601
Jana James Frohlich	Member	1 Jan 2010	Other	6173579
Lp Frohlich Family	Member	1 Dec 2012	25% - 50%	46-1506432

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Celeste Mary Bendel	Shareholder	1 Oct 1996	25% - 50%	4451883
Inc. Siegfried Companies	Member	1 May 1998	75% - 100%	73-1290102
2003 The Frohlich 2003 Family Trust Dated December 26	Limited partner	1 Dec 2012	75% - 100%	20-0527601
Phil Frohlich	General partner	1 Dec 2012	Other	4552964
Jeffrey David Watkins	Trustee	1 Dec 2012	Other	1697601
Dennis Ronald Nickel	Trustee	1 Dec 2012	Other	6173567

Based in Tulsa

The principal office where Prescott Group Capital Management L.L.C. performs its advisory services is located at 1924 S. Utica, Tulsa, OK 74104, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 918-747-3412 or by fax 918-742-7303. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at prescottcapital.com.