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PRELUDE CAPITAL MANAGEMENT, LLC

NEW YORK, NY · CRD 158105 · IAPD ↗ · preludecapital.com · 212-546-1180

$2.39BRegulatory AUM
11Advisory reps
32Employees
0Clients
n/aPlanning clients
9Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

51
April 2026 — PRELUDE CAPITAL MANAGEMENT, LLC reported RAUM up 34% ($1.78B -> $2.39B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
35
April 2024 — PRELUDE CAPITAL MANAGEMENT, LLC reported RAUM down 29% ($2.91B -> $2.08B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
40
April 2024 — PRELUDE CAPITAL MANAGEMENT, LLC shrank from 16 to 11 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.