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Adviser Profile

As of Date 03/26/2024
Adviser Type - Large advisory firm
Number of Employees 7 16.67%
of those in investment advisory functions 3
Registration SEC, Approved, 10/22/2001
AUM* 726,865,865 17.94%
of that, discretionary 726,865,865 17.94%
Private Fund GAV* 726,865,865 17.94%
Avg Account Size 181,716,466 17.94%
SMA’s No
Private Funds 3
Contact Info 918 xxxxxxx
Websites

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

Recent News

Reported AUM

Discretionary
Non-discretionary
662M 567M 473M 378M 284M 189M 95M
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count3 GAV$726,865,865

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Brochure Summary

Overview

Prescott Group Capital Management, L.L.C. ("Prescott") founded in January, 1999, is an investment services firm that primarily provides investment management services to investors through its four clients, which are pooled investment vehicles, or more specifically, hedge funds. Prescott also provides investment advisory services to a charitable organization client. Phil Frohlich, his family members, and Prescott employees control 100% of our firm. Prescott is the general partner and serves as the investment adviser to its four clients which are Prescott Group Aggressive Small Cap, L.P. and Prescott Group Aggressive Small Cap II., L.P. (Small Cap Funds), Prescott Group Tradition Fund, L.P. (Large Cap Fund), and Prescott Group Aggressive Mid Cap, L.P. (Aggressive Mid Cap Fund). The Small Cap Funds are fully invested in Prescott Group Aggressive Small Cap Master Fund, G.P., an Oklahoma general partnership (“Prescott Master Fund”), of which the Small Cap Funds serve as general partners, through a master-feeder structure. Specifically, we focus on researching, evaluating, and trading stocks, bonds, and options on our clients' behalf. Only our portfolio managers (Phil Frohlich and Matt Dunham) can make investment decisions for our clients. Phil Frohlich is the manager of the Small Cap Funds and co-manager of the Aggressive Mid Cap Fund and Large Cap Fund. Mr. Frohlich was born July 24, 1954, and has a BBA in Economics from the University of Oklahoma, an MBA from the University of Texas at Austin, and a law degree from the University of Tulsa. Mr. Frohlich has been manager of the Small Cap Funds since inception (December, 1992, and October, 2003), manager or co-manager of the Large Cap Fund
since inception (January, 1999) and manager or co-manager of the Aggressive Mid Cap Fund since inception (January, 2005). Mr. Frohlich has also been employed by the Siegfried Companies, Inc., a family office investment company, since 1987, and served as President until March, 2004. Matt Dunham is the co-manager of the Aggressive Mid Cap Fund and the Large Cap Fund. Mr. Dunham was born April 5, 1981 and has a Bachelor of Science in Finance and Applied Mathematics from Saint Louis University. Prior to joining Prescott in August 2012, Mr. Dunham had approximately 10 years of investing experience at various companies including Highland Capital Management and Goldman Sachs. We attempt to always act in the best interest of our clients. Our firm strictly adheres to the investment strategy set forth in each of our client’s Private Placement Memorandum. We do not modify our securities recommendations to our clients according to the particular interests of our clients’ underlying investors, nor do we allow investors to place restrictions on the trading we conduct for our clients. #1030041v25 We believe that this is the only fair and just way to manage a pooled investment vehicle, as it minimizes the potential for favoritism and factionalism on behalf of any underlying investors. We do not do any of the following: ● Participate in any wrap free programs. ● Compensate any third party entities for fund raising purposes. ● Participate in any fee sharing arrangements. ● Pay any compensation for investor referrals. ● Participate in any "Fund of Funds" arrangements. As of December 31, 2023, Prescott Group Capital Management, L.L.C. manages $726,865,865 in client assets on a discretionary basis. We do not manage any client assets on a non-discretionary basis.