Sponsor Check › Person
Related person on Form D filings · address state as listed: PA · listed Oct 15, 2009 → Apr 26, 2021
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
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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.
Comparisons are made for sponsors and sponsor groups, not individual people.
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)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Apr 26, 2021 D/A File 021-69509 | $136,893 (est.) | $0 | $0 | Christenson 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 | $0 | Joseph Grace Holdings Inc. BrokerCheck CRD 103580 ↗ |
| EDGAR ↗ | Apr 26, 2021 D/A File 021-194923 | $0 | $0 | $0 | Joseph Grace Holdings, Inc. BrokerCheck CRD 103580 ↗ |
| EDGAR ↗ | Dec 9, 2019 D/A File 021-52250 | $853,529 (est.) | $0 | $0 | SMH 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 | $0 | SMH 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 | $0 | SMH 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 | $0 | SMH 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.) | $0 | SMH 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.) | $0 | SMH 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 | $0 | SMH 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.) | $0 | SMH 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.) | $0 | SMH 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.) | $0 | Christenson 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 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 9, 2013 D/A File 021-153454 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 15, 2012 D/A File 021-129825 | $0 | $0 | $0 | None 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Penn Institutional Loan Common Master Fund, LP group: Penn | Executive Officer of the General Partner of the Issuer | Apr 26, 2021 | D/A | Indefinite similar: $155,000–$5,250,000 | $131,039,898 | 14 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, 2021 | D/A | Indefinite similar: $155,000–$5,250,000 | $52,114,694 | 34 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, 2021 | D/A | Indefinite similar: $155,000–$5,250,000 | $535,582,446 | 109 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, 2019 | D/A | Indefinite similar: $155,000–$5,250,000 | $130,889,898 | 14 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, 2019 | D/A | Indefinite similar: $155,000–$5,250,000 | $525,712,446 | 109 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, 2019 | D/A | Indefinite similar: $155,000–$5,250,000 | $168,510,199 | 203 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, 2019 | D/A | Indefinite similar: $155,000–$5,250,000 | $49,904,694 | 34 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $168,510,199 | 203 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $523,828,121 | 109 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $48,824,694 | 34 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $59,295,039 | 152 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $9,407,322 | 41 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $9,466,476 | 46 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, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $130,789,898 | 14 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $47,774,694 | 34 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $25,165,025 | 50 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $125,354,898 | 14 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $9,407,322 | 41 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $167,994,132 | 203 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $14,808,845 | 82 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $9,466,476 | 46 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $59,108,166 | 152 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, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $498,248,234 | 109 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $47,665,312 | 34 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $25,165,025 | 50 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $125,334,898 | 14 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $9,407,322 | 41 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $14,808,845 | 82 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $489,648,234 | 109 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $167,994,132 | 203 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $9,466,476 | 46 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $8,891,921 | 28 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $59,108,166 | 152 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $102,135,220 | 13 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $41,843,312 | 33 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $25,165,025 | 50 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,877,124 | 41 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $14,808,845 | 82 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $16,720,598 | 46 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $375,422,611 | 102 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $164,126,664 | 203 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $4,273,407 | 28 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, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $55,981,285 | 152 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $81,954,118 | 101 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $24,165,025 | 50 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $53,731,666 | 101 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $33,718,647 | 31 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $90,033,685 | 11 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $5,500,000 | 2 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,877,124 | 41 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $14,808,845 | 82 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $124,971,126 | 119 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $163,590,651 | 203 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $362,992,454 | 102 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $16,614,471 | 46 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $2,873,407 | 28 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, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $55,830,000 | 152 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $15,118,262 | 40 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $7,577,124 | 40 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $14,808,845 | 82 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $33,668,647 | 30 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $357,292,454 | 99 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $24,876,200 | 48 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $122,037,478 | 112 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $53,716,666 | 100 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $524,407 | 13 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $163,490,651 | 201 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $81,926,118 | 98 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $5,000,000 | 1 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $47,631,407 | 143 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, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $54,886,000 | 4 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, 2013 | D | Indefinite | $22,000,000 | 2 | No minimum reported |
| EDGAR ↗ | Penn Institutional Bank Loan Fund, LP group: Penn | Executive Officer of the General Partner of the Issuer | Apr 12, 2013 | D | Indefinite | $0 | 0 | No minimum reported |
| EDGAR ↗ | PENN SMALL TO MID CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $80,198,118 | 93 | No minimum reported |
| EDGAR ↗ | PENN SMALL CAPITALIZATION FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $51,642,318 | 91 | No 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, 2013 | D/A | Indefinite | $21,853,647 | 24 | No minimum reported |
| EDGAR ↗ | Penn Mid Cap Equity Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $24,531,200 | 46 | No minimum reported |
| EDGAR ↗ | PENN DIVERSIFIED MICRO CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $7,044,511 | 38 | No minimum reported |
| EDGAR ↗ | PENN DISTRESSED FUND L P group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $14,658,845 | 81 | No minimum reported |
| EDGAR ↗ | PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $117,736,032 | 108 | No minimum reported |
| EDGAR ↗ | Penn Capital Defensive High Yield Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $314,685,076 | 97 | No minimum reported |
| EDGAR ↗ | PENN CORE HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $140,936,531 | 200 | No minimum reported |
| EDGAR ↗ | PENN CONVERTIBLE FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $13,017,541 | 29 | No minimum reported |
| EDGAR ↗ | Penn Capital Structure Total Return Fund, L.P. group: Penn | Executive Officer of the General Partner | Mar 15, 2013 | D/A | Indefinite | $38,009,671 | 123 | No minimum reported |
| EDGAR ↗ | PENN Capital Pioneer Energy Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 15, 2013 | D/A | Indefinite | $524,407 | 13 | No minimum reported |
| EDGAR ↗ | PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. group: Penn | Director | Jan 9, 2013 | D/A | Indefinite | $4,565,845 | 4 | No minimum reported |
| EDGAR ↗ | PENN SMALL TO MID CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $76,571,357 | 93 | No minimum reported |
| EDGAR ↗ | PENN SMALL CAPITALIZATION FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $48,850,257 | 82 | No 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, 2012 | D/A | Indefinite | $3,792,081 | 13 | No minimum reported |
| EDGAR ↗ | Penn Mid Cap Equity Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $24,066,650 | 42 | No minimum reported |
| EDGAR ↗ | PENN Capital Pioneer Energy Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $524,407 | 13 | No minimum reported |
| EDGAR ↗ | PENN FINANCIAL SERVICES FUND LP group: Penn | Executive Officer Mr. McBride is an executive officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $3,042,357 | 13 | No minimum reported |
| EDGAR ↗ | PENN DIVERSIFIED MICRO CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $4,933,000 | 34 | No minimum reported |
| EDGAR ↗ | PENN DISTRESSED FUND L P group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $14,437,845 | 77 | No minimum reported |
| EDGAR ↗ | PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $105,996,430 | 104 | No minimum reported |
| EDGAR ↗ | PENN CORE HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $85,844,245 | 184 | No minimum reported |
| EDGAR ↗ | Penn Capital Defensive High Yield Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $245,584,311 | 91 | No minimum reported |
| EDGAR ↗ | PENN CONVERTIBLE FUND LP group: Penn | Executive Officer of the General Partner. | Mar 15, 2012 | D/A | Indefinite | $12,309,666 | 24 | No minimum reported |
| EDGAR ↗ | Penn Capital Structure Total Return Fund, L.P. group: Penn | Executive Officer of the General Partner | Mar 15, 2012 | D/A | Indefinite | $35,791,661 | 111 | No minimum reported |
| EDGAR ↗ | PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. group: Penn | Director | Jan 11, 2012 | D/A | Indefinite | $979,458 | 3 | No 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, 2011 | D | Indefinite | $3,757,000 | 12 | No minimum reported |
| EDGAR ↗ | PENN CORE HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $81,761,540 | 173 | No minimum reported |
| EDGAR ↗ | PENN FINANCIAL SERVICES FUND LP group: Penn | Executive Officer Mr. McBride is an executive officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $2,951,532 | 13 | No minimum reported |
| EDGAR ↗ | PENN Capital Pioneer Energy Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $407,807 | 13 | No minimum reported |
| EDGAR ↗ | PENN SMALL TO MID CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $72,811,807 | 89 | No minimum reported |
| EDGAR ↗ | PENN SMALL CAPITALIZATION FUND LP group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $48,207,549 | 78 | No minimum reported |
| EDGAR ↗ | Penn Mid Cap Equity Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $23,836,650 | 41 | No minimum reported |
| EDGAR ↗ | PENN DIVERSIFIED MICRO CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $4,639,365 | 34 | No minimum reported |
| EDGAR ↗ | PENN DISTRESSED FUND L P group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $38,752,845 | 71 | No minimum reported |
| EDGAR ↗ | PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $89,034,710 | 94 | No minimum reported |
| EDGAR ↗ | Penn Capital Defensive High Yield Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $204,300,990 | 84 | No minimum reported |
| EDGAR ↗ | PENN CONVERTIBLE FUND LP group: Penn | Executive Officer of the General Partner. | Mar 14, 2011 | D/A | Indefinite | $4,265,356 | 23 | No minimum reported |
| EDGAR ↗ | Penn Capital Structure Total Return Fund, L.P. group: Penn | Executive Officer of the General Partner | Mar 14, 2011 | D/A | Indefinite | $29,807,278 | 110 | No minimum reported |
| EDGAR ↗ | PENN CAPITAL STRUCTURE OPPORTUNITIES OFFSHORE FUND, LTD. group: Penn | Director | Jan 11, 2011 | D | Indefinite | $410,998 | 2 | No minimum reported |
| EDGAR ↗ | PENN SMALL TO MID CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $71,703,280 | 87 | No minimum reported |
| EDGAR ↗ | PENN SMALL CAPITALIZATION FUND LP group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $47,419,929 | 72 | No minimum reported |
| EDGAR ↗ | Penn Mid Cap Equity Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $23,836,650 | 41 | No minimum reported |
| EDGAR ↗ | PENN Capital Pioneer Energy Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $407,807 | 13 | No minimum reported |
| EDGAR ↗ | PENN FINANCIAL SERVICES FUND LP group: Penn | Executive Officer Mr. McBride is an executive officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $2,700,857 | 6 | No minimum reported |
| EDGAR ↗ | PENN DIVERSIFIED MICRO CAP EQUITY FUND LP group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $4,527,605 | 31 | No minimum reported |
| EDGAR ↗ | PENN DISTRESSED FUND L P group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $14,187,845 | 30 | No minimum reported |
| EDGAR ↗ | PENN CORE OPPORTUNISTIC HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $78,290,710 | 79 | No minimum reported |
| EDGAR ↗ | Penn Capital Defensive High Yield Fund, L.P. group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $189,219,472 | 72 | No minimum reported |
| EDGAR ↗ | PENN CORE HIGH YIELD BOND FUND LP group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $77,717,105 | 160 | No minimum reported |
| EDGAR ↗ | PENN CONVERTIBLE FUND LP group: Penn | Executive Officer of the General Partner. | Mar 12, 2010 | D/A | Indefinite | $2,449,650 | 18 | No minimum reported |
| EDGAR ↗ | Penn Capital Structure Total Return Fund, L.P. group: Penn | Executive Officer of the General Partner | Mar 12, 2010 | D/A | Indefinite | $28,883,438 | 104 | No minimum reported |
| EDGAR ↗ | Penn Mid Cap Equity Fund, L.P. group: Penn | Executive Officer of the General Partner | Jan 22, 2010 | D | Indefinite | $24,100,000 | 49 | No 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, 2009 | D | Indefinite | $339,854 | 12 | $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.
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.
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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