Matthew N. Dunham

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

TULSA, OK 74104

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CRD#: 4707788

Professional summary

Matthew Nicholas Dunham is a registered financial advisor currently at PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C. located in Tulsa, Oklahoma.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Matthew has worked at 2 firms and has passed the Series 65, Series 63, Series 86, Series 87 and Series 7 exams.

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.

Mr. Dunham is a partner in a small family owned farm which he inherited, WDM, LLC registered at 12925 S. 28th Place, Bixby, OK 74008. The business is not investment related. The partnership receives royalties from the sale of agriculture and oil/gas minerals. Mr. Dunham is a limited partner with no title or active management role. He spends an average of 0-1 hours a month, he only reviews contracts when his approval is needed as a limited partner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Nicholas Dunham'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

May 1, 2023 - Present

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

Office #1: 1924 S. Utica Ave Suite 1120, Tulsa, OK 74104

RIA

CRD#: 115220

TULSA, OK

Past

November 22, 2004 - August 2, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

CRD#: 115220 / SEC#: 801-60650

RIA

Registered Investment Advisory firm - (10/22/2001 Approved)

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

Oklahoma
(5/1/2023)

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

State Security Law Exam

IAR

Series 65

Date: 4/29/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/11/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 86

Date: 1/28/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 1/21/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/18/2004

General Securities Representative Examination

Current Firm

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

CRD#: 115220 / SEC#: 801-60650

RIA

Registered Investment Advisory firm - (10/22/2001 Approved)

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Contact information

Main Address

1924 S. Utica Ave Suite 1120, Tulsa, OK 74104

Mailing Address

Phone number

(918) 747-3412

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C. - ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 861,720,013

Red Flags

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

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Firm Stability Insights

Matthew N. Dunham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Nicholas Dunham's CRS (Customer Relationship Summary).

Certified licenses

Experience

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2023

Series 63

Date: 12/11/2004

Series 86

Date: 1/28/2005

Series 87

Date: 1/21/2005

Series 7

Date: 11/18/2004

Current Firm

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.

TRUST BUT VERIFY

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