Daniel W. Mendoza

PROSPECT CAPITAL ADVISORS

SAUSALITO, CA 94965

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CRD#: 2273186

Professional summary

Daniel William Mendoza is a registered financial advisor currently at PROSPECT CAPITAL ADVISORS, LLC located in Sausalito, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Daniel has worked at 2 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel William Mendoza's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 25, 2001 - Present

PROSPECT CAPITAL ADVISORS, LLC

Office #1: 501 Humboldt Avenue 2nd Floor, Sausalito, CA, 94965

RIA

CRD#: 119531

SAUSALITO, CA

Past

November 22, 1992 - June 28, 1994

VOLPE BROWN WHELAN & COMPANY, LLC

CRD#: 18329

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROSPECT CAPITAL ADVISORS, LLC

OMT HEDGE LLC | PROSPECT CAPITAL ADVISORS, LLC

CRD#: 119531 / SEC#: 801-100384

RIA

Registered Investment Advisory firm - (6/30/2015 Approved)

California

Registered Investment Advisory firm - (9/2/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/25/2001)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 11/19/1992

General Securities Representative Examination

Current Firm

PROSPECT CAPITAL ADVISORS, LLC

OMT HEDGE LLC | PROSPECT CAPITAL ADVISORS, LLC

CRD#: 119531 / SEC#: 801-100384

RIA

Registered Investment Advisory firm - (6/30/2015 Approved)

California

Registered Investment Advisory firm - (9/2/2015 Terminated)

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Contact information

Main Address

501 Humboldt Avenue 2nd Floor, Sausalito, CA, 94965

Mailing Address

Phone number

(415) 331-3590

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 288,032,681

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel W. Mendoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel William Mendoza's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPECT CAPITAL ADVISORS, LLC

VOLPE BROWN WHELAN & COMPANY, LLC

Primary Firm SEC Registration

PROSPECT CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 11/19/1992

Current Firm

PROSPECT CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPECT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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