{
  "crd_number": 332072,
  "slug": "prospect-street-holdings-llc-kingston-ny-332072",
  "primary_business_name": "PROSPECT STREET HOLDINGS, LLC",
  "legal_name": "PROSPECT STREET HOLDINGS, LLC",
  "dbas": [],
  "city": "Kingston",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "28740",
  "metro": {
    "cbsa_code": "28740",
    "common_name": "Kingston",
    "msa_name": "Kingston, NY",
    "path": "/advisors/ny/kingston"
  },
  "registration_type": "exempt",
  "registration_status": "ERA - Active",
  "registration_date": "2025-06-27",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": null,
  "advisory_employees": null,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [],
  "advisory_activities": [],
  "wrap_fee_participant": null,
  "disclosure_yes_count": 3,
  "states_registered": [],
  "websites": [
    "https://4pointsgroup.co"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/332072",
  "disclosure_items": [
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "KINGSTON",
  "url": "https://advisorcensus.com/firm/prospect-street-holdings-llc-kingston-ny-332072",
  "display_name": "Prospect Street Holdings, LLC",
  "summary": "Prospect Street Holdings, LLC is an exempt reporting adviser in Kingston, NY, filing reports since 2025. Exempt reporting advisers do not report regulatory assets under management on Form ADV.",
  "citation": "AdvisorCensus. Prospect Street Holdings, LLC (CRD 332072): Form ADV filing data as of October 2026.",
  "registration_type_label": "Exempt reporting adviser",
  "compensation_labels": [],
  "advisory_activity_labels": [],
  "quick_answers": [
    {
      "q": "Where is Prospect Street Holdings, LLC located?",
      "a": "Prospect Street Holdings, LLC's principal office is in Kingston, NY, according to its Form ADV."
    },
    {
      "q": "How does Prospect Street Holdings, LLC report to regulators?",
      "a": "Prospect Street Holdings, LLC is an exempt reporting adviser, filing reports since 2025. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 332072."
    },
    {
      "q": "Does Prospect Street Holdings, LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/332072"
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2025-06-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": null,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/prospect-street-holdings-llc-kingston-ny-332072.md",
  "clients": [],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/332072",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}