PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:30 AM ET

Sponsor Check › Sponsor group

P

Penn

One sponsor team, 16 deal companies · Philadelphia, PA

Grouped because: 19 shared people, same business address (14 issuers), similar issuer names (16) (automatic match from the filings) · not the same sponsor?

16deal companies
$1.29Breported sold
1,099investors
128Form D filings
2009–2021active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Apr 26, 2021 · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Penn is a sponsor group of 16 issuers that PartnerFacts links to one sponsor (shared people, same business address, similar issuer names; automatic match from the filings), filing 128 Form D filings between Oct 2009 and Apr 2021.

What this means One team, 16 deal companies, about 12 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $1.29B to 1,099 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (16). Issuers are based in PA (15), Virgin Islands, British (as filed: D8) (1).

What this means $1.29B raised across the group, about $1.17M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Christian M. Noyes (16 issuers, executive officer and director), Gerald McBride (16 issuers, executive officer and director), Eric J. Green (15 issuers, executive officer), Kimberly Hocker (15 issuers, director), Marcia Hocker (15 issuers, executive officer and director) and 16 more.

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Apr 26, 2021.

What this means No new raise filed in the past year.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 9 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.

What this means 10 records came back, including 1 court case still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 128 public filings for Penn and found 11 differences, 4 worth asking the sponsor about: Amount sold went down between filings; 16 paid sellers are listed without a CRD number; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Penn has not run yet — it is joining a line of 22,916 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

9 cases: 2 closed (disposition not in docket feed), 5 dismissed, 1 judgment, 1 open

PENN, LLC v. FREESTYLE SOFTWARE, INC. closed matched at sponsor-group level (Penn)
District Court, D. New Jersey · No. 2:22-cv-06760 · Filed Nov 23, 2022 · Closed May 2, 2025 · Nature of suit: Contract: Other · Cause: 28:1331 Fed. Question: Breach of Contract
Role of PENN, LLC: Plaintiff · Outcome: Terminated 2025-05-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state)
Cunningham v. Penn L.L.C. dismissed matched at sponsor-group level (Penn)
District Court, N.D. Illinois · No. 1:19-cv-02547 · Filed Apr 15, 2019 · Closed Jan 6, 2020 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1331 Fed Question: Fed Communications Act of 1934
Role of Penn L.L.C.: Defendant · Outcome: Terminated 2020-01-06 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state)
ZELMA v. PENN LLC dismissed matched at sponsor-group level (Penn)
District Court, D. New Jersey · No. 2:19-cv-08725 · Filed Mar 19, 2019 · Closed Sep 22, 2020 · Nature of suit: 890 Other Statutory Actions · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of PENN LLC: Defendant · Outcome: Terminated 2020-09-22 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state)
CHARLES SCHWAB & CO. INC. v. PENN LIBERTY BANK dismissed
District Court, E.D. Pennsylvania · No. 2:13-cv-01962 · Filed Apr 12, 2013 · Closed Mar 27, 2014 · Nature of suit: 190 Other contract actions
Role of CHARLES SCHWAB & CO. INC. v. PENN LIBERTY BANK: Party · Outcome: Terminated 2014-03-27 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in the issuer's state (PA)
TBF FINANCIAL, LLC v. PENN LIBERTY BANK dismissed
District Court, E.D. Pennsylvania · No. 2:13-cv-00276 · Filed Jan 16, 2013 · Closed Dec 16, 2013 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of TBF FINANCIAL, LLC v. PENN LIBERTY BANK: Party · Outcome: Terminated 2013-12-16 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in the issuer's state (PA)
Penn, LLC v. Prosper Business Development Corporation judgment matched at sponsor-group level (Penn)
District Court, S.D. Ohio · No. 2:10-cv-00993 · Filed Nov 5, 2010 · Closed Jan 8, 2014 · Nature of suit: 470 Racketeer/Corrupt Organization · Cause: 18:1962 Racketeering (RICO) Act
Role of Penn, LLC: Plaintiff · Outcome: Terminated 2014-01-08 — FJC Integrated Database disposition: Judgment on jury verdict; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state)
Natl Utility Service v. Penn Corporation closed matched at sponsor-group level (Penn)
District Court, W.D. Michigan · No. 1:89-cv-00289 · Filed Apr 6, 1989 · Closed May 29, 1990
Role of Penn Corporation: Defendant · Outcome: Terminated 1990-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 1989, issuer incorporated 2010
PINNEY DOCK & TRANSPORT CO v. PENN CO dismissed matched at sponsor-group level (Penn)
District Court, N.D. Ohio · No. · Filed Sep 17, 1980 · Closed Nov 14, 1989 · Nature of suit: 410 Antitrust
Role of PENN CO: Defendant · Outcome: Terminated 1989-11-14 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 1980, issuer incorporated 2010
TRISTAR PRODUCTS, INC. v. PENN LLC open matched at sponsor-group level (Penn)
District Court, D. New Jersey · No. 2:17-cv-02067 · Filed —
Role of PENN LLC: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Penn..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

1 case: 1 closed (disposition not in docket feed)

Spinosa v. Penn Liberty Bank closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 10-00479 · Filed Dec 29, 2010 · Closed Apr 4, 2011
Role of Spinosa v. Penn Liberty Bank: Party · Outcome: Case closed 2011-04-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in the issuer's state (PA)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

11 differences found between the filings for Penn — 4 worth asking about (compared the newest 50 of 128 filings on Oct 24, 2026; older filings not covered)

Note · Dec 29, 2010 – Apr 4, 2011

Bankruptcy case: Spinosa v. Penn Liberty Bank — filed Dec 29, 2010

United States Bankruptcy Court, E.D. Pennsylvania docket "Spinosa v. Penn Liberty Bank" filed Dec 29, 2010, closed Apr 4, 2011. Penn Capital Structure Total Return Fund, L.P. (member issuer) is listed as Party ("Spinosa v. Penn Liberty Bank"). Our match estimate: 60%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. Pennsylvania ↗Penn Capital Structure Total Return Fund, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 10, 2016 – Dec 27, 2016

Amount sold went down between filings — PENN CONVERTIBLE FUND LP

The Mar 10, 2016 filing says $16,720,598 sold; the Dec 27, 2016 Form D/A says $9,466,476 sold — $7,254,122 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Mar 10, 2016 ↗Form D/A (later) · Dec 27, 2016 ↗PENN CONVERTIBLE FUND LP — PartnerFacts page ↗
Sources
Worth asking · Mar 17, 2014 – Mar 16, 2015

Amount sold went down between filings — Penn Mid Cap Equity Fund, L.P.

The Mar 17, 2014 filing says $24,876,200 sold; the Mar 16, 2015 Form D/A says $24,165,025 sold — $711,175 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Mar 17, 2014 ↗Form D/A (later) · Mar 16, 2015 ↗Penn Mid Cap Equity Fund, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 12, 2010 – Apr 26, 2021

16 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Carol Lefcourt — Penn Capital Defensive High Yield Fund, L.P. · Paid seller listed without a CRD number: Christenson Investment Partners — Penn Capital Defensive High Yield Fund, L.P. · Paid seller listed without a CRD number: Christianson Investment Partners — PENN CORE HIGH YIELD BOND FUND LP · Paid seller listed without a CRD number: Carol Lefcourt — PENN CORE HIGH YIELD BOND FUND LP · Paid seller listed without a CRD number: Carlyle Wealth Management — PENN CORE HIGH YIELD BOND FUND LP · and 11 more

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Apr 26, 2021 ↗BrokerCheck search: Carol Lefcourt ↗Penn Capital Defensive High Yield Fund, L.P. — PartnerFacts page ↗BrokerCheck search: Christenson Investment Partners ↗
Sources
Note · Feb 23, 1992 – Apr 26, 2021

12 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Penn Institutional Loan Common Master Fund, LP (latest filing Apr 26, 2021) · No amendment in the last 12 months on an offering that may still be open — PENN SHORT DURATION HIGH YIELD FUND, L.P. (latest filing Apr 26, 2021) · No amendment in the last 12 months on an offering that may still be open — Penn Capital Defensive High Yield Fund, L.P. (latest filing Apr 26, 2021) · No amendment in the last 12 months on an offering that may still be open — PENN CORE HIGH YIELD BOND FUND LP (latest filing Dec 9, 2019) · No amendment in the last 12 months on an offering that may still be open — Penn Capital Structure Total Return Fund, L.P. (latest filing Dec 14, 2018) · and 7 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · Apr 26, 2021 ↗Penn Institutional Loan Common Master Fund, LP — PartnerFacts page ↗Form D/A · Apr 26, 2021 ↗PENN SHORT DURATION HIGH YIELD FUND, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 10, 2016 – Apr 26, 2021

52 people are no longer listed on a later amendment

Scott D. Schumacher, Sr. is no longer listed on the Apr 26, 2021 amendment — Penn Capital Defensive High Yield Fund, L.P. · Eric J. Green is no longer listed on the Apr 26, 2021 amendment — Penn Institutional Loan Common Master Fund, LP · Eric J. Green is no longer listed on the Apr 26, 2021 amendment — PENN SHORT DURATION HIGH YIELD FUND, L.P. · Eric J. Green is no longer listed on the Apr 26, 2021 amendment — Penn Capital Defensive High Yield Fund, L.P. · Scott S. Schumacher, Sr. is no longer listed on the Apr 26, 2021 amendment — PENN SHORT DURATION HIGH YIELD FUND, L.P. · and 47 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Dec 9, 2019 ↗Form D/A · Apr 26, 2021 ↗Scott D. Schumacher, Sr. — PartnerFacts page ↗Penn Capital Defensive High Yield Fund, L.P. — PartnerFacts page ↗
Sources
Note · Mar 10, 2016 – Apr 26, 2021

46 role changes for the same people across filings

Marcia Hocker's role changed at Penn Capital Defensive High Yield Fund, L.P.: executive officer, director → executive officer · Marcia Hocker's role changed at PENN SHORT DURATION HIGH YIELD FUND, L.P.: executive officer, director → executive officer · Marcia Hocker's role changed at Penn Institutional Loan Common Master Fund, LP: executive officer, director → executive officer · Gerald McBride's role changed at Penn Capital Defensive High Yield Fund, L.P.: executive officer, director → executive officer · Gerald McBride's role changed at PENN SHORT DURATION HIGH YIELD FUND, L.P.: executive officer, director → executive officer · and 41 more

What this means Roles on Form D are self-reported. Ask who runs the company today.

Form D/A · Dec 9, 2019 ↗Form D/A · Apr 26, 2021 ↗Marcia Hocker — PartnerFacts page ↗Penn Capital Defensive High Yield Fund, L.P. — PartnerFacts page ↗
Sources
Note · Oct 15, 2009 – Dec 27, 2016

6 people are written more than one way across the filings

Scott D. Schumacher, Sr. is written 2 different ways on the filings · Scott S. Schumacher, Sr. is written 2 different ways on the filings · Kimberley Hocker is written 2 different ways on the filings · Kimberly Hocker is written 2 different ways on the filings · Gerald McBride is written 2 different ways on the filings · and 1 more

What this means Middle names and suffixes come and go on these forms. Check full legal names against your documents.

Form D · Oct 15, 2009 ↗Form D/A · Dec 27, 2016 ↗Scott D. Schumacher, Sr. — PartnerFacts page ↗Form D · Apr 12, 2011 ↗
Sources
Note · Mar 15, 2012 – Apr 26, 2021

Member companies were formed in 2 different states

Delaware (15), Virgin Islands, British (1) — out of 16 member issuers. The odd ones out: PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. (Virgin Islands, British).

What this means Sponsors often form each deal company in Delaware or Wyoming no matter where the property is. A mix is common; it just tells you which state's rules each company lives under.

Penn — sponsor group page ↗PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. — PartnerFacts page ↗
Sources
Note · Mar 15, 2012 – Apr 26, 2021

Member companies list addresses in 2 different states

PA (15), Virgin Islands, British (as filed: D8) (1). 1 member uses a registered-agent or shared-office address: PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. (C/O Ogier Fiduciary Services (Bvi) Ltd., Nemours Chambers, P.O. Box 3170, Road Town, Tortola, Virgin Islands, British (as filed: D8)).

What this means A registered agent's address is a mailbox, not where the team works. The other address is more likely the real office — ask which one is.

Penn — sponsor group page ↗PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. — PartnerFacts page ↗
Sources
Note · Oct 15, 2009 – Apr 26, 2021

4 issuers used a different name before

Issuer used a different name before — Penn Capital Defensive High Yield Fund, L.P. · Issuer used a different name before — Penn Capital Structure Total Return Fund, L.P. · Issuer used a different name before — Penn Mid Cap Equity Fund, L.P. · Issuer used a different name before — PENN Capital Pioneer Energy Fund, L.P.

What this means Match the CIK on your documents, not just the name.

EDGAR filer page ↗Penn Capital Defensive High Yield Fund, L.P. — PartnerFacts page ↗EDGAR filer page ↗Penn Capital Structure Total Return Fund, L.P. — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 128 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

6 of 16 offerings report sales commissions totalling $1,693,927; 5 report finder's fees totalling $338,072; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 26, 2021 D/A
Penn Capital Defensive High Yield Fund, L.P.
File 021-69509
$136,893 (est.)$0$0Christenson Investment Partners no CRD number reported
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
Strategic Financial Alliance Inc. BrokerCheck CRD 126514 ↗		EDGAR ↗
Apr 26, 2021 D/A
PENN SHORT DURATION HIGH YIELD FUND, L.P.
File 021-158196
$12,640 (est.)$0$0Joseph Grace Holdings Inc. BrokerCheck CRD 103580 ↗EDGAR ↗
Apr 26, 2021 D/A
Penn Institutional Loan Common Master Fund, LP
File 021-194923
$0$0$0Joseph Grace Holdings, Inc. BrokerCheck CRD 103580 ↗EDGAR ↗
Dec 9, 2019 D/A
PENN CORE HIGH YIELD BOND FUND LP
File 021-52250
$853,529 (est.)$0$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Christianson Investment Partners no CRD number reported
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
Carlyle Wealth Management no CRD number reported
VSRFinancial Services Incorporated BrokerCheck CRD 14503 ↗
Joseph Grace Holdings, Inc. BrokerCheck CRD 103580 ↗
Strategic Financial Alliance Inc. BrokerCheck CRD 126514 ↗		EDGAR ↗
Dec 14, 2018 D/A
Penn Capital Structure Total Return Fund, L.P.
File 021-68730
$533,962 (est.)$0$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
Carlyle Wealth Management no CRD number reported
Strategic Financial Alliance Inc. BrokerCheck CRD 126514 ↗		EDGAR ↗
Dec 14, 2018 D/A
PENN CONVERTIBLE FUND LP
File 021-129776
$146,622 (est.)$0$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
Carlyle Wealth Management no CRD number reported
Strategic Financial Alliance Inc. BrokerCheck CRD 126514 ↗		EDGAR ↗
Dec 14, 2018 D/A
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
File 021-129743
$10,281 (est.)$0$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗
Strategic Financial Alliance Inc. BrokerCheck CRD 126514 ↗		EDGAR ↗
Dec 26, 2017 D/A
Penn Mid Cap Equity Fund, L.P.
File 021-138066
$0$5,868 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Christenson Investment Partners no CRD number reported
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Dec 26, 2017 D/A
PENN DISTRESSED FUND L P
File 021-54998
$0$169,106 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
Arete Wealth Management, LLC BrokerCheck CRD 44856 ↗
Phillips & Company BrokerCheck CRD 35800 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Dec 27, 2016 D/A
PENN Capital Pioneer Energy Fund, L.P.
File 021-135327
$0$0$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗
Carol Lefcourt no CRD number reported
Brinker Capital BrokerCheck CRD 38123 ↗
Carlyle Wealth Management no CRD number reported
VSRFinancial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
File 021-64331
$0$60,461 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
PENN SMALL CAPITALIZATION FUND LP
File 021-129897
$0$52,686 (est.)$0SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
PENN SMALL TO MID CAP EQUITY FUND LP
File 021-129880
$0$49,951 (est.)$0Christenson Investment Partners no CRD number reported
SMH Capital Inc. BrokerCheck CRD 20580 ↗
VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗		EDGAR ↗
Mar 16, 2015 D/A
Penn Institutional Bank Loan Fund, LP
File 021-194922
$0$0$0None listed on this filingEDGAR ↗
Jan 9, 2013 D/A
PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.
File 021-153454
$0$0$0None listed on this filingEDGAR ↗
Mar 15, 2012 D/A
PENN FINANCIAL SERVICES FUND LP
File 021-129825
$0$0$0None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 16 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 7:27 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Penn in the sources searched.

Not found in sources searched as of Oct 24, 2026, 7:27 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2015–2026) — 709,222 records, loaded Oct 24, 2026, 7:27 AM ET; Dallas County TX (DCAD ownership roll 2026) — 173,688 records, loaded Oct 23, 2026, 8:58 PM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll) — 294,950 records, loaded Oct 23, 2026, 8:58 PM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2015–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership roll 2026); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed). Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, King County WA (loader ready; first load not finished), Cook County IL bulk pass (not finished; per-issuer lookups only so far), New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Harris County Appraisal District real_acct.txt Oct 24, 2026, 7:27 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗PC PENN Capital Pioneer Energy Fund, L.P.shared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund9$8,891,921
offering Indefinite · similar: $155,000–$5,250,000
28
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2009–2016
EDGAR ↗PM Penn Mid Cap Equity Fund, L.P.shared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund10$25,165,025
offering Indefinite · similar: $155,000–$5,250,000
50
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2017
EDGAR ↗PC Penn Capital Structure Total Return Fund, L.P.shared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund10$59,295,039
offering Indefinite · similar: $155,000–$5,250,000
152
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2018
EDGAR ↗PS PENN SMALL CAPITALIZATION FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund6$53,731,666
offering Indefinite · similar: $155,000–$5,250,000
101
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2015
EDGAR ↗PC PENN CORE HIGH YIELD BOND FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund11$168,510,199
offering Indefinite · similar: $155,000–$5,250,000
203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2019
EDGAR ↗PC PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund6$124,971,126
offering Indefinite · similar: $155,000–$5,250,000
119
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2015
EDGAR ↗PS PENN SMALL TO MID CAP EQUITY FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund6$81,954,118
offering Indefinite · similar: $155,000–$5,250,000
101
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2015
EDGAR ↗PD PENN DISTRESSED FUND L Pshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund9$38,752,845
offering Indefinite · similar: $155,000–$5,250,000
82
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2017
EDGAR ↗PC Penn Capital Defensive High Yield Fund, L.P.shared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund12$535,582,446
offering Indefinite · similar: $155,000–$5,250,000
109
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2021
EDGAR ↗PF PENN FINANCIAL SERVICES FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund3$3,042,35713No minimum reported2010–2012
EDGAR ↗PC PENN CONVERTIBLE FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund10$16,720,598
offering Indefinite · similar: $155,000–$5,250,000
46
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2018
EDGAR ↗PD PENN DIVERSIFIED MICRO CAP EQUITY FUND LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund10$9,407,322
offering Indefinite · similar: $155,000–$5,250,000
41
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2018
EDGAR ↗PC PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.shared people, similar issuer namesROAD TOWN, TORTOLA, Virgin Islands, British (as filed: D8)Pooled Investment Fund3$4,565,8454No minimum reported2011–2013
EDGAR ↗PS PENN SHORT DURATION HIGH YIELD FUND, L.P.shared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund11$52,114,694
offering Indefinite · similar: $155,000–$5,250,000
34
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2011–2021
EDGAR ↗PI Penn Institutional Loan Common Master Fund, LPshared people, same business address, similar issuer namesPHILADELPHIA, PAPooled Investment Fund9$131,039,898
offering Indefinite · similar: $155,000–$5,250,000
14
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2013–2021
EDGAR ↗PI Penn Institutional Bank Loan Fund, LPshared people, similar issuer namesPHILADELPHIA, PAPooled Investment Fund3$5,500,000
offering Indefinite · similar: $155,000–$5,250,000
2
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2013–2015

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Apr 26, 2021Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$131,039,898
EDGAR ↗Apr 26, 2021PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$52,114,694
EDGAR ↗Apr 26, 2021Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$535,582,446
EDGAR ↗Dec 9, 2019Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$130,889,898
EDGAR ↗Dec 9, 2019Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$525,712,446
EDGAR ↗Dec 9, 2019PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$168,510,199
EDGAR ↗Dec 9, 2019PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$49,904,694
EDGAR ↗Dec 14, 2018PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$168,510,199
EDGAR ↗Dec 14, 2018Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$523,828,121
EDGAR ↗Dec 14, 2018PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$48,824,694
EDGAR ↗Dec 14, 2018Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$59,295,039
EDGAR ↗Dec 14, 2018PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$9,407,322
EDGAR ↗Dec 14, 2018PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$9,466,476
EDGAR ↗Dec 14, 2018Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$130,789,898
EDGAR ↗Dec 26, 2017PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$47,774,694
EDGAR ↗Dec 26, 2017Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$25,165,025
EDGAR ↗Dec 26, 2017Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$125,354,898
EDGAR ↗Dec 26, 2017PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$9,407,322
EDGAR ↗Dec 26, 2017PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$167,994,132
EDGAR ↗Dec 26, 2017PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,808,845
EDGAR ↗Dec 26, 2017PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$9,466,476
EDGAR ↗Dec 26, 2017Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$59,108,166
EDGAR ↗Dec 26, 2017Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$498,248,234
EDGAR ↗Dec 27, 2016PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$47,665,312
EDGAR ↗Dec 27, 2016Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$25,165,025
EDGAR ↗Dec 27, 2016Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$125,334,898
EDGAR ↗Dec 27, 2016PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$9,407,322
EDGAR ↗Dec 27, 2016PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,808,845
EDGAR ↗Dec 27, 2016Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$489,648,234
EDGAR ↗Dec 27, 2016PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$167,994,132
EDGAR ↗Dec 27, 2016PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$9,466,476
EDGAR ↗Dec 27, 2016PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$8,891,921
EDGAR ↗Dec 27, 2016Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$59,108,166
EDGAR ↗Mar 11, 2016Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$102,135,220
EDGAR ↗Mar 11, 2016PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$41,843,312
EDGAR ↗Mar 11, 2016Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$25,165,025
EDGAR ↗Mar 11, 2016PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$7,877,124
EDGAR ↗Mar 10, 2016PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,808,845
EDGAR ↗Mar 10, 2016PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$16,720,598
EDGAR ↗Mar 10, 2016Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$375,422,611
EDGAR ↗Mar 10, 2016PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$164,126,664
EDGAR ↗Mar 10, 2016PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$4,273,407
EDGAR ↗Mar 10, 2016Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$55,981,285
EDGAR ↗Mar 16, 2015PENN SMALL TO MID CAP EQUITY FUND LPD/APooled Investment FundIndefinite$81,954,118
EDGAR ↗Mar 16, 2015Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$24,165,025
EDGAR ↗Mar 16, 2015PENN SMALL CAPITALIZATION FUND LPD/APooled Investment FundIndefinite$53,731,666
EDGAR ↗Mar 16, 2015PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$33,718,647
EDGAR ↗Mar 16, 2015Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$90,033,685
EDGAR ↗Mar 16, 2015Penn Institutional Bank Loan Fund, LPD/APooled Investment FundIndefinite$5,500,000
EDGAR ↗Mar 16, 2015PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$7,877,124
EDGAR ↗Mar 16, 2015PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,808,845
EDGAR ↗Mar 16, 2015PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$124,971,126
EDGAR ↗Mar 16, 2015PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$163,590,651
EDGAR ↗Mar 16, 2015Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$362,992,454
EDGAR ↗Mar 16, 2015PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$16,614,471
EDGAR ↗Mar 16, 2015PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$2,873,407
EDGAR ↗Mar 16, 2015Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$55,830,000
EDGAR ↗Mar 17, 2014PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$15,118,262
EDGAR ↗Mar 17, 2014PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$7,577,124
EDGAR ↗Mar 17, 2014PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,808,845
EDGAR ↗Mar 17, 2014PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$33,668,647
EDGAR ↗Mar 17, 2014Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$357,292,454
EDGAR ↗Mar 17, 2014Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$24,876,200
EDGAR ↗Mar 17, 2014PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$122,037,478
EDGAR ↗Mar 17, 2014PENN SMALL CAPITALIZATION FUND LPD/APooled Investment FundIndefinite$53,716,666
EDGAR ↗Mar 17, 2014PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$524,407
EDGAR ↗Mar 17, 2014PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$163,490,651
EDGAR ↗Mar 17, 2014PENN SMALL TO MID CAP EQUITY FUND LPD/APooled Investment FundIndefinite$81,926,118
EDGAR ↗Mar 17, 2014Penn Institutional Bank Loan Fund, LPD/APooled Investment FundIndefinite$5,000,000
EDGAR ↗Mar 17, 2014Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$47,631,407
EDGAR ↗Mar 17, 2014Penn Institutional Loan Common Master Fund, LPD/APooled Investment FundIndefinite$54,886,000
EDGAR ↗Apr 12, 2013Penn Institutional Loan Common Master Fund, LPDPooled Investment FundIndefinite$22,000,000
EDGAR ↗Apr 12, 2013Penn Institutional Bank Loan Fund, LPDPooled Investment FundIndefinite$0
EDGAR ↗Mar 15, 2013PENN SMALL TO MID CAP EQUITY FUND LPD/APooled Investment FundIndefinite$80,198,118
EDGAR ↗Mar 15, 2013PENN SMALL CAPITALIZATION FUND LPD/APooled Investment FundIndefinite$51,642,318
EDGAR ↗Mar 15, 2013PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$21,853,647
EDGAR ↗Mar 15, 2013Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$24,531,200
EDGAR ↗Mar 15, 2013PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$7,044,511
EDGAR ↗Mar 15, 2013PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,658,845
EDGAR ↗Mar 15, 2013PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$117,736,032
EDGAR ↗Mar 15, 2013Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$314,685,076
EDGAR ↗Mar 15, 2013PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$140,936,531
EDGAR ↗Mar 15, 2013PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$13,017,541
EDGAR ↗Mar 15, 2013Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$38,009,671
EDGAR ↗Mar 15, 2013PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$524,407
EDGAR ↗Jan 9, 2013PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.D/APooled Investment FundIndefinite$4,565,845
EDGAR ↗Mar 15, 2012PENN SMALL TO MID CAP EQUITY FUND LPD/APooled Investment FundIndefinite$76,571,357
EDGAR ↗Mar 15, 2012PENN SMALL CAPITALIZATION FUND LPD/APooled Investment FundIndefinite$48,850,257
EDGAR ↗Mar 15, 2012PENN SHORT DURATION HIGH YIELD FUND, L.P.D/APooled Investment FundIndefinite$3,792,081
EDGAR ↗Mar 15, 2012Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$24,066,650
EDGAR ↗Mar 15, 2012PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$524,407
EDGAR ↗Mar 15, 2012PENN FINANCIAL SERVICES FUND LPD/APooled Investment FundIndefinite$3,042,357
EDGAR ↗Mar 15, 2012PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$4,933,000
EDGAR ↗Mar 15, 2012PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,437,845
EDGAR ↗Mar 15, 2012PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$105,996,430
EDGAR ↗Mar 15, 2012PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$85,844,245
EDGAR ↗Mar 15, 2012Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$245,584,311
EDGAR ↗Mar 15, 2012PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$12,309,666
EDGAR ↗Mar 15, 2012Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$35,791,661
EDGAR ↗Jan 11, 2012PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.D/APooled Investment FundIndefinite$979,458
EDGAR ↗Apr 12, 2011PENN SHORT DURATION HIGH YIELD FUND, L.P.DPooled Investment FundIndefinite$3,757,000
EDGAR ↗Mar 14, 2011PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$81,761,540
EDGAR ↗Mar 14, 2011PENN FINANCIAL SERVICES FUND LPD/APooled Investment FundIndefinite$2,951,532
EDGAR ↗Mar 14, 2011PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$407,807
EDGAR ↗Mar 14, 2011PENN SMALL TO MID CAP EQUITY FUND LPD/APooled Investment FundIndefinite$72,811,807
EDGAR ↗Mar 14, 2011PENN SMALL CAPITALIZATION FUND LPD/APooled Investment FundIndefinite$48,207,549
EDGAR ↗Mar 14, 2011Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$23,836,650
EDGAR ↗Mar 14, 2011PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$4,639,365
EDGAR ↗Mar 14, 2011PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$38,752,845
EDGAR ↗Mar 14, 2011PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$89,034,710
EDGAR ↗Mar 14, 2011Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$204,300,990
EDGAR ↗Mar 14, 2011PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$4,265,356
EDGAR ↗Mar 14, 2011Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$29,807,278
EDGAR ↗Jan 11, 2011PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.DPooled Investment FundIndefinite$410,998
EDGAR ↗Mar 12, 2010PENN SMALL TO MID CAP EQUITY FUND LPD/APooled Investment FundIndefinite$71,703,280
EDGAR ↗Mar 12, 2010PENN SMALL CAPITALIZATION FUND LPD/APooled Investment FundIndefinite$47,419,929
EDGAR ↗Mar 12, 2010Penn Mid Cap Equity Fund, L.P.D/APooled Investment FundIndefinite$23,836,650
EDGAR ↗Mar 12, 2010PENN Capital Pioneer Energy Fund, L.P.D/APooled Investment FundIndefinite$407,807
EDGAR ↗Mar 12, 2010PENN FINANCIAL SERVICES FUND LPD/APooled Investment FundIndefinite$2,700,857
EDGAR ↗Mar 12, 2010PENN DIVERSIFIED MICRO CAP EQUITY FUND LPD/APooled Investment FundIndefinite$4,527,605
EDGAR ↗Mar 12, 2010PENN DISTRESSED FUND L PD/APooled Investment FundIndefinite$14,187,845
EDGAR ↗Mar 12, 2010PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$78,290,710
EDGAR ↗Mar 12, 2010Penn Capital Defensive High Yield Fund, L.P.D/APooled Investment FundIndefinite$189,219,472
EDGAR ↗Mar 12, 2010PENN CORE HIGH YIELD BOND FUND LPD/APooled Investment FundIndefinite$77,717,105
EDGAR ↗Mar 12, 2010PENN CONVERTIBLE FUND LPD/APooled Investment FundIndefinite$2,449,650
EDGAR ↗Mar 12, 2010Penn Capital Structure Total Return Fund, L.P.D/APooled Investment FundIndefinite$28,883,438
EDGAR ↗Jan 22, 2010Penn Mid Cap Equity Fund, L.P.DPooled Investment FundIndefinite$24,100,000
EDGAR ↗Oct 15, 2009PENN Capital Pioneer Energy Fund, L.P.DPooled Investment FundIndefinite$339,854

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Apr 26, 2021. Industry history, as reported on each offering's latest filing: All 16 offerings reported: Pooled Investment Fund (2009–2013).

People across the group

NameRolesIssuers hereFirst → last listed
GM Gerald McBrideExecutive Officer, Director16Oct 15, 2009 → Apr 26, 2021
CN Christian M. NoyesExecutive Officer, Director16Oct 15, 2009 → Mar 11, 2016
MH Marcia HockerExecutive Officer, Director15Oct 15, 2009 → Apr 26, 2021
RH Richard A. HockerExecutive Officer, Director15Oct 15, 2009 → Apr 26, 2021
EG Eric J. GreenExecutive Officer15Oct 15, 2009 → Dec 9, 2019
KH Kimberly HockerDirector15Oct 15, 2009 → Mar 11, 2016
KH Kirsten HockerExecutive Officer, Director14Mar 12, 2010 → Apr 26, 2021
SS Scott D. Schumacher, Sr.Executive Officer, Director12Oct 15, 2009 → Dec 9, 2019
JS Jorge Paulo SilvaExecutive Officer10Dec 27, 2016 → Dec 9, 2019
KH Kimberley HockerDirector10Dec 27, 2016 → Dec 9, 2019
PM Peter MoranExecutive Officer10Mar 10, 2016 → Dec 26, 2017
LM Lisa Lazarus Black MatsonExecutive Officer4Dec 9, 2019 → Dec 9, 2019
MK Martin KeaneExecutive Officer4Dec 9, 2019 → Dec 9, 2019
PD Peter DuffyExecutive Officer4Dec 9, 2019 → Dec 9, 2019
KH Kirstin HockerDirector, Executive Officer4Mar 12, 2010 → Mar 11, 2016
JM Joseph MaguireExecutive Officer3Apr 26, 2021 → Apr 26, 2021
JM Joseph McDonnellExecutive Officer3Apr 26, 2021 → Apr 26, 2021
SS Scott SchumacherExecutive Officer2Apr 12, 2013 → Dec 9, 2019
KH Kristin HockerDirector2Jan 22, 2010 → Mar 11, 2016
SS Scott S. Schumacher, Sr.Executive Officer, Director1Apr 12, 2011 → Dec 9, 2019
KH Kristen HockerDirector1Oct 15, 2009 → Oct 15, 2009

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched Penn.

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Penn as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Public profiles and social

No website or social profile named in Penn's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #193,010 of 374,652 in line (1,156 issuers searched so far). One-tap searches: Look further ↓

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