# PROSPECT CAPITAL SERVICES, INC.

PROSPECT CAPITAL SERVICES, INC. of WESTFIELD, NJ is an SEC-registered investment adviser.

## Registration

- CRD: 290102
- Type: SEC-registered investment adviser
- SEC file number: 801-111888
- Location: 316 EAST BROAD STREET, WESTFIELD, NJ, 07090
- Phone: 908-379-2706
- Latest filing: 2024-05-29
- Regulatory AUM: $190.8M
- Discretionary AUM: $178.6M
- Non-discretionary AUM: $12.2M
- Clients: 5
- Accounts: 699

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| MCCOURT MARY CAYE | CHIEF COMPLIANCE OFFICER AND PRINCIPAL; OWNER | — |
| SWINGLE MARK FREDERICK | PRINCIPAL; PRINCIPAL & CHIEF COMPLIANCE OFFICER | — |
| RICCIARDO GERALD JOHN | CHIEF COMPLIANCE OFFICER | — |
| SONG DANIEL M | PARTNER | — |
| HUYNH TIMOTHY | PARTNER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/290102/brochure
- Similar advisers: https://search.stillhousedata.com/firm/290102/similar
- Related entities: https://search.stillhousedata.com/firm/290102/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/290102

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.