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CRD 105081
PHILADELPHIA, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RICHARD ALAN HOCKER | n/a | CHERRY HILL, NJ | 33 | 38 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PENN CAPITAL DEFENSIVE HIGH YIELD FUND, L.P. | Other Private Fund | $249M | Aug 11, 2021 | 33 | Mar 29, 2012 | dropped | 021-69509 |
| PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP | Other Private Fund | $92.9M | Jun 8, 2015 | 79 | Mar 29, 2012 | dropped | 021-64331 |
| PENN SHORT DURATION HIGH YIELD FUND, L.P. | Other Private Fund | $33.8M | Aug 11, 2021 | 12 | Mar 29, 2012 | dropped | 021-158196 |
| PENN SMALL TO MID CAP EQUITY FUND LP | Other Private Fund | $14.8M | Jun 8, 2015 | 34 | Mar 29, 2012 | dropped | 021-129880 |
| PENN INSTITUTIONAL LOAN COMMON MASTER FUND, L.P. | Other Private Fund | $12.8M | Feb 28, 2023 | 2 | Mar 31, 2014 | dropped | 021-194923 |
| PENN SMALL CAPITALIZATION FUND LP | Other Private Fund | $12.3M | Sep 13, 2016 | 37 | Mar 29, 2012 | dropped | 021-129897 |
| CAPITAL STRUCTURE OPPORTUNITIES FUND OFFSHORE LTD | Hedge Fund | $9.4M | Mar 27, 2013 | 9 | Mar 29, 2012 | dropped | 021-68730 |
| PENN CAPITAL STRUCTURE TOTAL RETURN FUND, L.P. | Hedge Fund | $6.7M | Mar 29, 2019 | 57 | Mar 29, 2012 | dropped | 021-68730 |
| PENN CAPITAL PIONEER ENERGY FUND LP | Hedge Fund | $6.2M | Mar 31, 2017 | 29 | Mar 29, 2012 | dropped | 021-135327 |
| PENN CORE HIGH YIELD BOND FUND LP | Other Private Fund | $4.4M | Jun 15, 2020 | 23 | Mar 29, 2012 | dropped | 021-52250 |
| PENN CAPITAL MULTI-SECTOR SPECTRUM INCOME FUND, L.P. | Other Private Fund | $4.0M | Mar 29, 2019 | 1 | Mar 30, 2015 | dropped | 021-273935 |
| PENN MID CAP EQUITY FUND LP | Other Private Fund | $3.2M | Mar 30, 2018 | 17 | Mar 29, 2012 | dropped | 021-138066 |
| PENN CONVERTIBLE FUND LP | Other Private Fund | $2.7M | Mar 29, 2019 | 19 | Mar 29, 2012 | dropped | 021-129776 |
| PENN FINANCIAL SERVICES FUND LP | Other Private Fund | $2.4M | Mar 29, 2012 | 14 | Mar 29, 2012 | dropped | 021-129825 |
| PENN DIVERSIFIED MICRO CAP EQUITY FUND LP | Other Private Fund | $2.0M | Mar 29, 2019 | 15 | Mar 29, 2012 | dropped | 021-129743 |
| PENN DISTRESSED FUND LP | Hedge Fund | $1.6M | Mar 30, 2018 | 14 | Mar 29, 2012 | dropped | 021-54998 |
| PENN CAPITAL ENERGY CREDIT OPPORTUNITIES FUND LP | Hedge Fund | $0 | Sep 13, 2016 | 0 | Mar 30, 2015 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GREEN, ERIC, JON | CHIEF INVESTMENT OFFICER - SENIOR PORTFOLIO MANAGER | B | yes | 12/2019 | Mar 29, 2012 | Aug 13, 2024 |
| LAWRENCE, PAMELA, MARIE | President | Na | yes | 07/2024 | Aug 3, 2024 | Aug 13, 2024 |
| MAGUIRE, JOSEPH, C | DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER | A | yes | 12/2019 | Aug 3, 2024 | Aug 13, 2024 |
| MEAGHER, MICHAEL, JEFFERSON | Member | F | yes | 07/2024 | Aug 3, 2024 | Aug 13, 2024 |
| MEYER, MICHAEL, JOHN | Member | F | yes | 07/2024 | Aug 3, 2024 | Aug 13, 2024 |
| SEAPORT GLOBAL HOLDINGS LLC | Owner | D | yes | 07/2024 | Aug 3, 2024 | Aug 13, 2024 |
| SGAM ADVISORS LLC | Member | D | yes | 07/2024 | Aug 3, 2024 | Aug 13, 2024 |
| SMITH, STEPHEN, CORCORAN | Member | F | yes | 07/2024 | Aug 3, 2024 | Aug 13, 2024 |
| KEANE, MARTIN, P | CHIEF COMPLIANCE OFFICER | Na | no | 03/2024 | Mar 29, 2019 | Aug 13, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| SR ALTERNATIVE CREDIT, LLC | n/a | Asset manager | $247M | N | yes | n/a |
| SEAPORT GLOBAL ASSET MANAGEMENT LLC | n/a | Asset manager | $80.0M | N | yes | n/a |
| ARMORY ADVISORS LLC | n/a | n/a | n/a | Y | yes | n/a |
| ARMORY PARTNERS LLC | n/a | n/a | n/a | Y | yes | n/a |
| LIQUIDITY APAC PTE LTD | n/a | n/a | n/a | N | yes | n/a |
| LIQUIDITY FINANCE (DIFC) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| LIQUIDITY FINANCE (HONG KONG) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| LIQUIDITY FINANCE LLP | n/a | n/a | n/a | N | yes | n/a |
| SEAPORT GLOBAL ASSET MANAGEMENT V-PORT GP LLC | n/a | n/a | n/a | Y | yes | n/a |
| SEAPORT GLOBAL ASSET MANAGEMENT V2 GP LLC | n/a | n/a | n/a | Y | yes | n/a |
| SEAPORT GLOBAL SECURITIES LLC | n/a | n/a | n/a | N | yes | n/a |
| SEAPORT RESEARCH PARTNERS LLC | n/a | n/a | n/a | N | yes | n/a |
| THE SEAPORT GROUP EUROPE LLP | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $1.9B | $1.5B | 16 | 12 | 0 | n/a | n/a |
| 2024 | Mar 24, 2025 | $1.6B | $1.3B | 15 | 12 | 0 | n/a | n/a |
| 2023 | Mar 27, 2024 | $1.7B | $1.4B | 19 | 13 | 0 | n/a | n/a |
| 2022 | Mar 31, 2023 | $1.8B | $1.6B | 23 | 15 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $2.1B | $1.9B | 25 | 15 | 1 | 1 | $12.8M |
| 2020 | Mar 31, 2021 | $2.8B | $2.3B | 30 | 17 | 1 | 3 | $329M |
| 2019 | Mar 26, 2020 | $3.0B | $2.7B | 49 | 21 | 1 | 4 | $404M |
| 2018 | Mar 29, 2019 | $2.9B | $2.6B | 58 | 22 | 1 | 8 | $410M |
| 2017 | Mar 30, 2018 | $4.2B | $3.9B | 62 | 23 | 1 | 10 | $469M |
| 2016 | Mar 31, 2017 | $5.5B | $5.1B | 66 | 20 | n/a | 11 | $575M |
| 2015 | Mar 30, 2016 | $6.4B | $6.1B | 65 | 25 | n/a | 13 | $636M |
| 2014 | Mar 30, 2015 | $8.1B | $7.5B | 63 | 25 | n/a | 15 | $834M |
| 2013 | Mar 31, 2014 | $7.6B | $6.9B | 65 | 25 | n/a | 13 | $819M |
| 2012 | Mar 27, 2013 | $7.1B | $6.5B | 59 | 25 | n/a | 13 | $783M |
| 2011 | Mar 29, 2012 | $5.9B | $5.4B | n/a | n/a | n/a | 14 | $619M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.9B | $1.6B | 21.2% | $1.8B | 3.1% | 16 | 15 | 0 | 0 |