DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P••• C•••••• M••••••••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Feb 12, 1988
RAUM
$1.9B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
1.6%
$30.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.9B
derived; firm RAUM over IAPD count
Employees
16
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.9B as of Mar 27, 2026
Mar 29, 2012$5.9B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 27, 20130 then
Employees (5.A)16 as of Mar 27, 2026
Mar 27, 201359 then
Private funds1 as of Mar 31, 2022
Mar 29, 201214 then
RAUM +21% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 16.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$994M68%
- Charitable organizations$121M8.3%
- Investment companies$96.8M6.6%
- Pooled investment vehicles$89.3M6.1%
- Pension and profit-sharing plans$87.6M6.0%
- Individuals$30.5M2.1%
- Insurance companies$26.7M1.8%
- Corporations and businesses$16.2M1.1%
- Individual clients
- 60reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 602reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $24.0M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.1 institutional_share=0.63 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A••• H••••• | Cherry Hill, Nj | Feb 23, 1993 | 38 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• C•••••• D•••••••• H••• Y•••• F•••• L•••no longer reported | Other Private Fund | $249M | 33 | Mar 29, 2012 |
| P••• C••• O••••••••• H••• Y•••• B••• F••• L•no longer reported | Other Private Fund | $92.9M | 79 | Mar 29, 2012 |
| P••• S•••• D••••••• H••• Y•••• F•••• L•••no longer reported | Other Private Fund | $33.8M | 12 | Mar 29, 2012 |
| P••• S•••• T• M•• C•• E••••• F••• L•no longer reported | Other Private Fund | $14.8M | 34 | Mar 29, 2012 |
| P••• I••••••••• L••• C••••• M••••• F•••• L•••no longer reported | Other Private Fund | $12.8M | 2 | Mar 31, 2014 |
| P••• S•••• C••••••••• F••• L•no longer reported | Other Private Fund | $12.3M | 37 | Mar 29, 2012 |
| C•••••• S•••••••• O••••••••• F••• O••••••• L••no longer reported | Hedge Fund | $9.4M | 9 | Mar 29, 2012 |
| P••• C•••••• S•••••••• T•••• R••••• F•••• L•••no longer reported | Hedge Fund | $6.7M | 57 | Mar 29, 2012 |
| P••• C•••••• P•••••• E••••• F••• L•no longer reported | Hedge Fund | $6.2M | 29 | Mar 29, 2012 |
| P••• C••• H••• Y•••• B••• F••• L•no longer reported | Other Private Fund | $4.4M | 23 | Mar 29, 2012 |
| P••• C•••••• M••••••••• S••••••• I••••• F•••• L•••no longer reported | Other Private Fund | $4.0M | 1 | Mar 30, 2015 |
| P••• M•• C•• E••••• F••• L•no longer reported | Other Private Fund | $3.2M | 17 | Mar 29, 2012 |
| P••• C••••••••• F••• L•no longer reported | Other Private Fund | $2.7M | 19 | Mar 29, 2012 |
| P••• F•••••••• S••••••• F••• L•no longer reported | Other Private Fund | $2.4M | 14 | Mar 29, 2012 |
| P••• D••••••••• M•••• C•• E••••• F••• L•no longer reported | Other Private Fund | $2.0M | 15 | Mar 29, 2012 |
| P••• D••••••••• F••• L•no longer reported | Hedge Fund | $1.6M | 14 | Mar 29, 2012 |
| P••• C•••••• E••••• C••••• O••••••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G••••• E•••• J•• · Chief Investment Officer - Senior Portfolio Managercontrolsince 12/2019 · owns 10% to 25%
- L•••••••• P•••••• M•••• · Presidentcontrolsince 07/2024 · owns less than 5%
- M••••••• J•••••• C• · Director Of R•••••••, Senior Portfolio Managercontrolsince 12/2019 · owns 5% to 10%
- M••••••• M••••••• J•••••••• · Membercontrolsince 07/2024 · owns F of S•••••• G••••• H••••••• L••
- M••••• M••••••• J••• · Membercontrolsince 07/2024 · owns F of S•••••• G••••• H••••••• L••
- S••••• S••••••• C••••••• · Membercontrolsince 07/2024 · owns F of S•••••• G••••• H••••••• L••
- K••••• M•••••• P• · Chief Compliance Officersince 03/2024 · owns less than 5%
Entity owners
- S••• A••••••• L•• · Memberdirect · owns 50% to 75%
- S•••••• G••••• H••••••• L•• · Ownerindirect · owns 50% to 75% of S••• A••••••• L••
Related persons
Schedule D 7.A
- A••••• A••••••• L••investment advisery
- A••••• P••••••• L••pooled vehicle sponsory
- L•••••••• A••• P•• L••broker-dealern
- L•••••••• F•••••• ••••• L••••••broker-dealern
- L•••••••• F•••••• •••• K•••• L••••••broker-dealern
- L•••••••• F•••••• L••broker-dealern
- S•••••• G••••• A•••• M••••••••• L••investment advisernRAUM $80.0M
- S•••••• G••••• A•••• M••••••••• V••••• G• L••pooled vehicle sponsory
- S•••••• G••••• A•••• M••••••••• V• G• L••pooled vehicle sponsory
- S•••••• G••••• S••••••••• L••broker-dealern
- S•••••• R••••••• P••••••• L••investment advisern
- S• A••••••••• C•••••• L••investment advisernRAUM $247M
- T•• S•••••• G•••• E••••• L••broker-dealern
Advisers that list P••• C•••••• M••••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 724 to 602May 13, 2025 to Mar 27, 2026
- Charity clients · 5.0 to unsetMay 13, 2025 to Mar 27, 2026
- Corporate clients · 3.0 to unsetMay 13, 2025 to Mar 27, 2026
- Individual clients · 59 to 60May 13, 2025 to Mar 27, 2026
- Pension plan clients · 2.0 to unsetMay 13, 2025 to Mar 27, 2026
- Pooled vehicle clients · 3 to 2May 13, 2025 to Mar 27, 2026
- Employees · 15 to 16May 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.3B to $1.5BMay 13, 2025 to Mar 27, 2026
- Individual RAUM · $25.6M to $30.5MMay 13, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $318M to $477MMay 13, 2025 to Mar 27, 2026
- Pension RAUM · $83.1M to $87.6MMay 13, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $71.5M to $89.3MMay 13, 2025 to Mar 27, 2026
- RAUM · $1.6B to $1.9BMay 13, 2025 to Mar 27, 2026
- Wrap assets (manager) · $20.8M to $24.0MMay 13, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 24, 2025 to May 13, 2025
- Accounts · 934 to 724Aug 13, 2024 to Mar 24, 2025
- Advisory employees · 13 to 12Aug 13, 2024 to Mar 24, 2025
- Charity clients · 4 to 5Aug 13, 2024 to Mar 24, 2025
- Individual clients · 182 to 59Aug 13, 2024 to Mar 24, 2025
- Pension plan clients · 6 to 2Aug 13, 2024 to Mar 24, 2025
- Employees · 19 to 15Aug 13, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.4B to $1.3BAug 13, 2024 to Mar 24, 2025
- Individual RAUM · $107M to $25.6MAug 13, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $262M to $318MAug 13, 2024 to Mar 24, 2025
- Pension RAUM · $92.5M to $83.1MAug 13, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $65.2M to $71.5MAug 13, 2024 to Mar 24, 2025
- RAUM · $1.7B to $1.6BAug 13, 2024 to Mar 24, 2025
- Wrap assets (manager) · $64.6M to $20.8MAug 13, 2024 to Mar 24, 2025
- Related adviser · false to trueApr 23, 2024 to Aug 3, 2024
- Related broker-dealer · false to trueApr 23, 2024 to Aug 3, 2024
- Related adviser · true to falseMar 27, 2024 to Apr 23, 2024
- Accounts · 986 to 934Jan 29, 2024 to Mar 27, 2024
- Advisory employees · 15 to 13Jan 29, 2024 to Mar 27, 2024
- Charity clients · 7 to 4Jan 29, 2024 to Mar 27, 2024
- Corporate clients · 7 to 3Jan 29, 2024 to Mar 27, 2024
- Individual clients · 181 to 182Jan 29, 2024 to Mar 27, 2024
- Pension plan clients · 8 to 6Jan 29, 2024 to Mar 27, 2024
- Employees · 23 to 19Jan 29, 2024 to Mar 27, 2024
- Other offices · 1 to 0Jan 29, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.6B to $1.4BJan 29, 2024 to Mar 27, 2024
Signals
24 dated events
- Corcoran Stephen Smith (Member) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Aug 3, 2024 · Control person joined · fact
- Jon Eric Green (Chief Investment Officer - Senior Portfolio Manager) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Aug 3, 2024 · Control person joined · fact
- J••••• M•••••• (Director Of Research, Senior Portfolio Manager) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Aug 3, 2024 · Control person joined · fact
- Marie Pamela Lawrence (President) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Aug 3, 2024 · Control person joined · fact
- Jefferson Michael Meagher (Member) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Aug 3, 2024 · Control person joined · fact
- John Michael Meyer (Member) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Aug 3, 2024 · Control person joined · fact
- A Kirsten Hocker (President) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2024-04-23, absent 2024-08-03)Aug 3, 2024 · Control person left · inference
- Alan Richard Hocker (Chief Executive Officer) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2024-04-23, absent 2024-08-03)Aug 3, 2024 · Control person left · inference
- Ann Marcia Hocker (President) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2024-04-23, absent 2024-08-03)Aug 3, 2024 · Control person left · inference
- Alasdair Andrew Smith (Elected Manager) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2024-04-23, absent 2024-08-03)Aug 3, 2024 · Control person left · inference
- Mclean Andrew Daly (Chief Operating Officer) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2023-06-06, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Meredith Jennifer Shields (General Counsel And Chief Compliance Officer) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2023-06-06, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Meredith Jennifer Shields (Chief Compliance Officer) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Feb 28, 2023 · Control person joined · fact
- Jon Eric Green (Cio - Equity, Senior Managing Partner) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2021-08-11, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- R Peter Duffy (Cio - Credit, Senior Managing Partner) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2021-08-11, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Chapman Blakely Page (Managing Member) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2021-08-11, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- P••• C•••••• M••••••••• C••••••• L•• reported RAUM $2.1B, down 26% from $2.8B (2021-08-11 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P••• C•••••• M••••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 11, 2021 · Succession (Item 4) · fact
- David Scott Schumacher (Senior Portfolio Manager, Senior Managing Partner, Director) no longer on Schedule A of P••• C•••••• M••••••••• C••••••• L•• (listed 2020-06-15, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Alasdair Andrew Smith (Chief Executive Officer) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Mar 31, 2021 · Control person joined · fact
- Mclean Andrew Daly (Chief Operating Officer) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Mar 31, 2021 · Control person joined · fact
- Chapman Blakely Page (Managing Member) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Mar 31, 2021 · Control person joined · fact
- R Peter Duffy (Deputy Cio - Credit, Senior Managing Partner) appeared on Schedule A of P••• C•••••• M••••••••• C••••••• L••Mar 26, 2020 · Control person joined · fact
- P••• C•••••• M••••••••• C••••••• L•• reported RAUM $2.9B, down 33% from $4.2B (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/penn-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-302-1500reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026