PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 2:21 AM ET

Sponsor Check › Person

Gerald McBride

Related person on Form D filings · address state as listed: PA · listed Oct 15, 2009 → Apr 26, 2021

16issuers
128Form D filings
2009–2021years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

None found in sources searched.

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

State courts: not yet searched. 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

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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

No SEC search has run yet for this person.

3. Bankruptcies

None found in sources searched.

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 AM ET.

State courts: not yet searched. 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

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

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)

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗Apr 26, 2021 D/A
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
File 021-158196
$12,640 (est.)$0$0Joseph Grace Holdings Inc. BrokerCheck CRD 103580 ↗
EDGAR ↗Apr 26, 2021 D/A
File 021-194923
$0$0$0Joseph Grace Holdings, Inc. BrokerCheck CRD 103580 ↗
EDGAR ↗Dec 9, 2019 D/A
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
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
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
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
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
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
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
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
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
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
File 021-194922
$0$0$0None listed on this filing
EDGAR ↗Jan 9, 2013 D/A
File 021-153454
$0$0$0None listed on this filing
EDGAR ↗Mar 15, 2012 D/A
File 021-129825
$0$0$0None listed on this filing

As reported by the issuer on Form D (Items 12–15), 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 every filing this person is listed on (latest filing per offering, per issuer).

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Apr 26, 2021D/AIndefinite
similar: $155,000–$5,250,000
$131,039,89814
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, LLC, the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Apr 26, 2021D/AIndefinite
similar: $155,000–$5,250,000
$52,114,69434
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Apr 26, 2021D/AIndefinite
similar: $155,000–$5,250,000
$535,582,446109
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer, Director
of the General Partner of the Issuer
Dec 9, 2019D/AIndefinite
similar: $155,000–$5,250,000
$130,889,89814
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer, Director
of the General Partner.
Dec 9, 2019D/AIndefinite
similar: $155,000–$5,250,000
$525,712,446109
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 9, 2019D/AIndefinite
similar: $155,000–$5,250,000
$168,510,199203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer, Director
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Dec 9, 2019D/AIndefinite
similar: $155,000–$5,250,000
$49,904,69434
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$168,510,199203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer, Director
of the General Partner.
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$523,828,121109
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer, Director
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$48,824,69434
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer, Director
of the General Partner
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$59,295,039152
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$9,407,32241
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$9,466,47646
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer, Director
of the General Partner of the Issuer
Dec 14, 2018D/AIndefinite
similar: $155,000–$5,250,000
$130,789,89814
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer, Director
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$47,774,69434
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer, Director
of the General Partner.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$25,165,02550
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer, Director
of the General Partner of the Issuer
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$125,354,89814
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$9,407,32241
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$167,994,132203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer, Director
of the General Partner.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$14,808,84582
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer, Director
of the General Partner.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$9,466,47646
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer, Director
of the General Partner
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$59,108,166152
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer, Director
of the General Partner.
Dec 26, 2017D/AIndefinite
similar: $155,000–$5,250,000
$498,248,234109
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$47,665,31234
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$25,165,02550
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$125,334,89814
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$9,407,32241
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$14,808,84582
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$489,648,234109
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$167,994,132203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$9,466,47646
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$8,891,92128
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Dec 27, 2016D/AIndefinite
similar: $155,000–$5,250,000
$59,108,166152
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Mar 11, 2016D/AIndefinite
similar: $155,000–$5,250,000
$102,135,22013
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Mar 11, 2016D/AIndefinite
similar: $155,000–$5,250,000
$41,843,31233
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 11, 2016D/AIndefinite
similar: $155,000–$5,250,000
$25,165,02550
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 11, 2016D/AIndefinite
similar: $155,000–$5,250,000
$7,877,12441
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 10, 2016D/AIndefinite
similar: $155,000–$5,250,000
$14,808,84582
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 10, 2016D/AIndefinite
similar: $155,000–$5,250,000
$16,720,59846
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 10, 2016D/AIndefinite
similar: $155,000–$5,250,000
$375,422,611102
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 10, 2016D/AIndefinite
similar: $155,000–$5,250,000
$164,126,664203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 10, 2016D/AIndefinite
similar: $155,000–$5,250,000
$4,273,40728
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 10, 2016D/AIndefinite
similar: $155,000–$5,250,000
$55,981,285152
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SMALL TO MID CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$81,954,118101
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$24,165,02550
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SMALL CAPITALIZATION FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$53,731,666101
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$33,718,64731
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$90,033,68511
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Bank Loan Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$5,500,0002
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$7,877,12441
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$14,808,84582
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$124,971,126119
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$163,590,651203
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$362,992,454102
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$16,614,47146
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$2,873,40728
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 16, 2015D/AIndefinite
similar: $155,000–$5,250,000
$55,830,000152
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$15,118,26240
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$7,577,12440
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$14,808,84582
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$33,668,64730
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$357,292,45499
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$24,876,20048
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$122,037,478112
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SMALL CAPITALIZATION FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$53,716,666100
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$524,40713
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$163,490,651201
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗PENN SMALL TO MID CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$81,926,11898
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Bank Loan Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$5,000,0001
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$47,631,407143
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Mar 17, 2014D/AIndefinite
similar: $155,000–$5,250,000
$54,886,0004
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Penn Institutional Loan Common Master Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Apr 12, 2013DIndefinite$22,000,0002No minimum reported
EDGAR ↗Penn Institutional Bank Loan Fund, LP
group: Penn
Executive Officer
of the General Partner of the Issuer
Apr 12, 2013DIndefinite$00No minimum reported
EDGAR ↗PENN SMALL TO MID CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$80,198,11893No minimum reported
EDGAR ↗PENN SMALL CAPITALIZATION FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$51,642,31891No minimum reported
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Mar 15, 2013D/AIndefinite$21,853,64724No minimum reported
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$24,531,20046No minimum reported
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$7,044,51138No minimum reported
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$14,658,84581No minimum reported
EDGAR ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$117,736,032108No minimum reported
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$314,685,07697No minimum reported
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$140,936,531200No minimum reported
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$13,017,54129No minimum reported
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 15, 2013D/AIndefinite$38,009,671123No minimum reported
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2013D/AIndefinite$524,40713No minimum reported
EDGAR ↗PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.
group: Penn
DirectorJan 9, 2013D/AIndefinite$4,565,8454No minimum reported
EDGAR ↗PENN SMALL TO MID CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$76,571,35793No minimum reported
EDGAR ↗PENN SMALL CAPITALIZATION FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$48,850,25782No minimum reported
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Mar 15, 2012D/AIndefinite$3,792,08113No minimum reported
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$24,066,65042No minimum reported
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$524,40713No minimum reported
EDGAR ↗PENN FINANCIAL SERVICES FUND LP
group: Penn
Executive Officer
Mr. McBride is an executive officer of the General Partner.
Mar 15, 2012D/AIndefinite$3,042,35713No minimum reported
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$4,933,00034No minimum reported
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$14,437,84577No minimum reported
EDGAR ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$105,996,430104No minimum reported
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$85,844,245184No minimum reported
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$245,584,31191No minimum reported
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 15, 2012D/AIndefinite$12,309,66624No minimum reported
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 15, 2012D/AIndefinite$35,791,661111No minimum reported
EDGAR ↗PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.
group: Penn
DirectorJan 11, 2012D/AIndefinite$979,4583No minimum reported
EDGAR ↗PENN SHORT DURATION HIGH YIELD FUND, L.P.
group: Penn
Executive Officer
of Penn Capital Management Company, Inc., the Sole Member of Penn Capital Funds Group, LLC, the General Partner of the Issuer.
Apr 12, 2011DIndefinite$3,757,00012No minimum reported
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$81,761,540173No minimum reported
EDGAR ↗PENN FINANCIAL SERVICES FUND LP
group: Penn
Executive Officer
Mr. McBride is an executive officer of the General Partner.
Mar 14, 2011D/AIndefinite$2,951,53213No minimum reported
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$407,80713No minimum reported
EDGAR ↗PENN SMALL TO MID CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$72,811,80789No minimum reported
EDGAR ↗PENN SMALL CAPITALIZATION FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$48,207,54978No minimum reported
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$23,836,65041No minimum reported
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$4,639,36534No minimum reported
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$38,752,84571No minimum reported
EDGAR ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$89,034,71094No minimum reported
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$204,300,99084No minimum reported
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 14, 2011D/AIndefinite$4,265,35623No minimum reported
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 14, 2011D/AIndefinite$29,807,278110No minimum reported
EDGAR ↗PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD.
group: Penn
DirectorJan 11, 2011DIndefinite$410,9982No minimum reported
EDGAR ↗PENN SMALL TO MID CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$71,703,28087No minimum reported
EDGAR ↗PENN SMALL CAPITALIZATION FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$47,419,92972No minimum reported
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$23,836,65041No minimum reported
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$407,80713No minimum reported
EDGAR ↗PENN FINANCIAL SERVICES FUND LP
group: Penn
Executive Officer
Mr. McBride is an executive officer of the General Partner.
Mar 12, 2010D/AIndefinite$2,700,8576No minimum reported
EDGAR ↗PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$4,527,60531No minimum reported
EDGAR ↗PENN DISTRESSED FUND L P
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$14,187,84530No minimum reported
EDGAR ↗PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$78,290,71079No minimum reported
EDGAR ↗Penn Capital Defensive High Yield Fund, L.P.
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$189,219,47272No minimum reported
EDGAR ↗PENN CORE HIGH YIELD BOND FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$77,717,105160No minimum reported
EDGAR ↗PENN CONVERTIBLE FUND LP
group: Penn
Executive Officer
of the General Partner.
Mar 12, 2010D/AIndefinite$2,449,65018No minimum reported
EDGAR ↗Penn Capital Structure Total Return Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Mar 12, 2010D/AIndefinite$28,883,438104No minimum reported
EDGAR ↗Penn Mid Cap Equity Fund, L.P.
group: Penn
Executive Officer
of the General Partner
Jan 22, 2010DIndefinite$24,100,00049No minimum reported
EDGAR ↗PENN Capital Pioneer Energy Fund, L.P.
group: Penn
Executive Officer
Mr. McBride is an executive officer of the General Partner.
Oct 15, 2009DIndefinite$339,85412$4,900

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"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.

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 20 names on the same filings (0 management entities, 20 people)

People and management entities the issuers listed as related persons on the same Form D filings as Gerald McBride. Source: the EDGAR rows in the table above.

  • Marcia Hocker — 125 shared filings (15 issuers) · roles as listed: Executive Officer, Director
  • Richard A. Hocker — 125 shared filings (15 issuers) · roles as listed: Executive Officer, Director
  • Eric J. Green — 122 shared filings (15 issuers) · role as listed: Executive Officer
  • Scott D. Schumacher, Sr. — 101 shared filings (12 issuers) · roles as listed: Executive Officer, Director
  • Kirsten Hocker — 96 shared filings (14 issuers) · roles as listed: Director, Executive Officer
  • Christian M. Noyes — 95 shared filings (16 issuers) · roles as listed: Executive Officer, Director
  • Kimberly Hocker — 92 shared filings (15 issuers) · role as listed: Director
  • Jorge Paulo Silva — 30 shared filings (10 issuers) · role as listed: Executive Officer
  • Kimberley Hocker — 30 shared filings (10 issuers) · role as listed: Director
  • Peter Moran — 29 shared filings (10 issuers) · roles as listed: Executive Officer, Director
  • Kirstin Hocker — 21 shared filings (4 issuers) · roles as listed: Director, Executive Officer
  • Scott Schumacher — 11 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Scott S. Schumacher, Sr. — 10 shared filings (1 issuer) · roles as listed: Executive Officer, Director
  • Kristin Hocker — 7 shared filings (2 issuers) · role as listed: Director
  • Lisa Lazarus Black Matson — 4 shared filings (4 issuers) · role as listed: Executive Officer · also listed on 11 other issuers
  • Martin Keane — 4 shared filings (4 issuers) · role as listed: Executive Officer
  • Peter Duffy — 4 shared filings (4 issuers) · role as listed: Executive Officer
  • Joseph Maguire — 3 shared filings (3 issuers) · role as listed: Executive Officer
  • Joseph McDonnell — 3 shared filings (3 issuers) · role as listed: Executive Officer
  • Kristen Hocker — 1 shared filing (1 issuer) · role as listed: Director

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.

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