PROSPECT ASSET MANAGEMENT INC

CRD #106178 SEC #801-47749 HONOLULU, HI 808-955-7077

SEC Registered Private Funds Disclosures

Total AUM

$59.2M

Discretionary

$59.2M

Employees

Clients

Accounts

This firm has regulatory disclosures on file. View disclosures

Firm Details

Organization Type: Corporation
State of Formation: Hawaii
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 29, 2019
Branch Offices: 1

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BENTZEN, RYAN	I	CHIEF COMPLIANCE OFFICER	NA
BENTZEN, RYAN	I	CHIEF COMPLIANCE OFFICER	NA
BENTZEN, RYAN	I	CHIEF COMPLIANCE OFFICER	NA
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
FREEZE, CURTIS, RUDOLF	I	CHIEF INVESTMENT OFFICER	NA	Control
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KAJIWARA, MAMI	I	CHIEF COMPLIANCE OFFICER	NA
KERRIGAN, DANIEL, BURKE	I	DIRECTOR, CEO	NA	Control
KERRIGAN, DANIEL, BURKE	I	DIRECTOR, CEO	NA	Control
KERRIGAN, DANIEL, BURKE	I	DIRECTOR, CEO	NA	Control
KERRIGAN, DANIEL, BURKE	I	CEO	NA	Control
KERRIGAN, DANIEL, BURKE	I	DIRECTOR, CEO	NA	Control
KERRIGAN, DANIEL, BURKE	I	DIRECTOR, CEO	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, VICE PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
MATSUMOTO, KAORI	I	DIRECTOR, PRESIDENT	NA	Control
NAKAMURA, CHERI, MIDORI	I	DIRECTOR, OPERATIONS	NA	Control
NAKAMURA, CHERI, MIDORI	I	DIRECTOR, OPERATIONS	NA	Control
NAKAMURA, CHERI, MIDORI	I	DIRECTOR, MARKETING DIRECTOR	NA
NAKAMURA, CHERI, MIDORI	I	MARKETING DIRECTOR	NA
NAKAMURA, CHERI, MIDORI	I	MARKETING DIRECTOR	NA
NAKAMURA, CHERI, MIDORI	I	DIRECTOR, MARKETING DIRECTOR	NA
NAKAMURA, CHERI, MIDORI	I	DIRECTOR, CHIEF COMPLIANCE OFFICER	NA	Control
NAKAMURA, CHERI, MIDORI	I	MARKETING DIRECTOR	NA
NAKAMURA, CHERI, MIDORI	I	DIRECTOR, VP	NA	Control
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
PRISKE, ROBERT, DANIEL	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
REITSPERGER, WOLF, DIETRICH	I	DIRECTOR	NA
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CHIEF FINANCIAL OFFICER	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, COO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CHIEF FINANCIAL OFFICER	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CHIEF FINANCIAL OFFICER	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CHIEF FINANCIAL OFFICER	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CCO AND CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CCO AND CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CCO AND CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CCO AND CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CCO AND CFO	NA	Control
SMITH, HAMILTON, COMPTON	I	DIRECTOR, CCO AND CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR, CFO	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
ZHANG, XIN	I	DIRECTOR	NA	Control
FREEZE, CURTIS, RUDOLF	I	DIRECTOR, PRESIDENT, CCO	E	Control
FREEZE, CURTIS, RUDOLF	I	PRESIDENT, CCO	E	Control
FREEZE, CURTIS, RUDOLF	I	PRESIDENT, CCO	E	Control
FREEZE, CURTIS, RUDOLF	I	DIRECTOR, PRESIDENT, CCO	E	Control
FREEZE, CURTIS, RUDOLF	I	PRESIDENT	E	Control
FREEZE, CURTIS, RUDOLF	I	PRESIDENT	E	Control
FREEZE, CURTIS, RUDOLF	I	PRESIDENT, CCO	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
PROSPECT CO., LTD	FE	SOLE SHAREHOLDER	E	Control
KERRIGAN, DANIEL, BURKE	I	CEO	C	Control
KERRIGAN, DANIEL, BURKE	I	CEO	C	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	E	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	E	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	E	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	E	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	E	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	E	Control
GRO-BELS, CO., LTD.	FE	PROSPECT CO., LTD.	E	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	E	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	E	Control
PROSPECT CO., LTD.	FE	PROSPECT CO., LTD.	E	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
FREEZE, CURTIS, RUDOLF	I	PROSPECT ABSOLUTE RETURN (JAPAN), LLC	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	D	Control
PROSPECT ABSOLUTE RETURN (JAPAN) LLC	DE	PROSPECT CO., LTD	C	Control

Registrations

Federal

Mar 29, 2019 REGISTERED

Notice Filings (3)

CT HI NY

Address

410 ATKINSON DRIVE
SUITE 434
HONOLULU, HI 96814
United States

Phone: 808-955-7077