Penn Capital Management Company, LLC

RIASEC RegisteredEst. 1988

Total AUM

$1.9B

Discretionary

$1.5B

75% of AUM

Avg account

$3.2M

Accounts

602

Employees

16

Advisory reps

5

Firm details

Headquarters: Philadelphia, Pennsylvania
CRD number: 105081
Registered since: February 12, 1988
Website: www.penncapital.com
Custodians: J.P. MORGAN SECURITIES INC., THE BANK OF NEW YORK MELLON
Fee structure: Percentage of AUM, Performance Based Fees
Client types: State / Municipal Government51.23%
Other24.61%
Charitable Organizations6.26%
Investment Companies4.99%
Pooled Investment Vehicles4.61%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Penn Capital Management Company, LLC is an SEC-registered investment adviser organized as an LLC and operating since 1988. The firm manages portfolios for individual and family clients as well as institutional investors, offering portfolio management across separately managed accounts, pooled vehicles and investment companies. Its compensation model combines a percentage-of-AUM fee with performance-based fees. Penn Capital is not positioned as an ESG-focused allocator and its public filings identify roles beyond advisory work, including acting as a sponsor, general partner or managing member of pooled investment vehicles and maintaining broker-dealer affiliations.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities79%
Non-Investment Grade Corp Bonds21%

Owners & executives

2 of 2

Martin Keane
Chief Technology OfficerCRD 7091502
Richard Hocker
Chief Investment OfficerCRD 850185

Contacts

3 of 3

Eric Green
Senior PartnerCRD 5094040
Joseph Maguire
Portfolio ManagerCRD 7962611
Pamela Lawrence
PresidentCRD 1648920

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 2

Active vs passive

$2.5M in ETFs

Passive

100%

$2.5M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD EXTENDED MARKET INDEX FUND (VXF)	Vanguard	Passive	Mid Cap Blend	$1.6M	6,315	63.21%

Unlock additional holdings →

Primary office

Philadelphia, PA

Philadelphia

Location

Philadelphia, PA

Headquartered in Philadelphia, PA, anchoring the Philadelphia-Reading-Camden, PA-NJ-DE-MD metro in the Northeast.

Metro area: Philadelphia-Reading-Camden, PA-NJ-DE-MD
Region: Northeast
County: Philadelphia
Address: 3025 John F Kennedy Blvd
Time zone: ET (UTC-5)
Office locations

Similar firms

FS Specialty Lending Advisor, LLC

Philadelphia, PA

AUM $1.9BTEAM 177REPS 7

Mitchell Sinkler & Starr

Philadelphia, PA

AUM $1.8BTEAM 9REPS 7

Corient Shc Partners (US) LP

Philadelphia, PA

AUM $1.7BTEAM 36REPS 4

FS Structured Products Advisor, LLC

Philadelphia, PA

AUM $2.2BTEAM 183REPS 5

FS Fund Advisor, LLC

Philadelphia, PA

AUM $1.6BTEAM 118REPS 8

Corient Shc Wealth Management (US) LP

Philadelphia, PA

AUM $2.3BTEAM 36REPS 5

More RIAs in Philadelphia →All Pennsylvania RIAs →