Data / Investment advisers / Pennsylvania / Penn Capital Management Company, LLC
Penn Capital Management Company, LLC, Philadelphia, PA: $1.9 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Penn Capital Management Company, LLC is an SEC registered investment adviser with its main office in Philadelphia, Pennsylvania and reports $1.9 billion in regulatory assets under management in its Form ADV filed March 27, 2026. Its clients include state and municipal governments, charitable organizations and investment companies. It is paid through a percentage of assets under management and performance based fees.
The request: Watch Penn Capital Management Company, LLC (CRD number 105081): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 105081
- SEC file number
- 801-31452
- SEC status
- Approved, effective February 12, 1988
- Main office
- 3025 John F. Kennedy Blvd Suite 270, Philadelphia, PA 19104
- Phone
- (215) 302-1500
- Regulatory AUM
- $1,939,685,119 in the Form ADV filed March 27, 2026
- Discretionary AUM
- $1,462,232,140
- Non discretionary AUM
- $477,452,979
- Accounts
- 602
- Employees
- 16, of which 12 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, performance based fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 27, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| State or municipal government entities | Fewer than 5 | $993.6 million |
| Charitable organizations | Fewer than 5 | $121.4 million |
| Investment companies | 2 | $96.8 million |
| Pooled investment vehicles | 2 | $89.3 million |
| Pension and profit sharing plans | Fewer than 5 | $87.6 million |
| Individuals (other than high net worth individuals) | 60 | $30.5 million |
| Insurance companies | Fewer than 5 | $26.7 million |
| Corporations or other businesses | Fewer than 5 | $16.2 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $1.94 billion | March 27, 2026 |
| December 1, 2025 | $1.60 billion | May 13, 2025 |
Other advisers in Philadelphia
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| RTD Financial Advisors Inc | Philadelphia | $2.72 billion | Not listed | adviserinfo.sec.gov |
| LL Funds | Philadelphia | $2.61 billion | 20 | adviserinfo.sec.gov |
| Corient SHC Wealth Management (US) LP | Philadelphia | $2.34 billion | 1 | adviserinfo.sec.gov |
| FS Structured Products Advisor, LLC | Philadelphia | $2.20 billion | 6 | adviserinfo.sec.gov |
| Transamerica Financial Advisors, LLC | Philadelphia | $2.11 billion | Not listed | adviserinfo.sec.gov |
| FS Specialty Lending Advisor, LLC | Philadelphia | $1.93 billion | Not listed | adviserinfo.sec.gov |
| Mitchell Sinkler & Starr | Philadelphia | $1.79 billion | Not listed | adviserinfo.sec.gov |
| Corient SHC Partners (US) LP | Philadelphia | $1.71 billion | 3 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Philadelphia, PA
- Investment advisers in Pennsylvania
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving state and municipal governments
- Advisers serving charitable organizations
- Penn Capital Management Company, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.