# Prospect Street Holdings, LLC

> 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.

- CRD: 332072
- Filed as: PROSPECT STREET HOLDINGS, LLC
- Reporting status: Exempt reporting adviser (status as filed: ERA - Active)
- Location: Kingston, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/332072
- AdvisorCensus page: https://advisorcensus.com/firm/prospect-street-holdings-llc-kingston-ny-332072

## Quick answers

**Where is Prospect Street Holdings, LLC located?**
Prospect Street Holdings, LLC's principal office is in Kingston, NY, according to its Form ADV.

**How does Prospect Street Holdings, LLC report to regulators?**
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.

**Does Prospect Street Holdings, LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

### Firm details
- Reporting since: 2025 (1 year)
- Employees: Not reported total, Not reported performing advisory functions
- Wrap fee program participation: Not reported
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(5): 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?
- 11.E(2): 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?
- 11.E(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/332072

### Websites listed on Form ADV (Item 1.I)
- 4pointsgroup.co

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | Not reported | Not reported | June 27, 2025 |
| October 2026 | Not reported | Not reported | March 31, 2026 |


## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Prospect Street Holdings, LLC (CRD 332072): Form ADV filing data as of October 2026.