Sponsor Check › Person
Related person on Form D filings · address state as listed: PA · listed Mar 10, 2016 → Dec 26, 2017
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 12:01 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.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 12:01 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.
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.
Search queued. Results are added automatically; check back later or follow this page to be notified.
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, 12:01 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.
0 of 10 offerings report sales commissions; 8 report finder's fees totalling $3,294,282; 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 ↗ | Dec 26, 2017 D/A File 021-68730 | $0 | $519,353 (est.) | $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 ↗ | Dec 26, 2017 D/A File 021-52250 | $0 | $840,641 (est.) | $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 ↗ |
| EDGAR ↗ | Dec 26, 2017 D/A File 021-69509 | $0 | $1,549,171 (est.) | $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 ↗ VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗ |
| EDGAR ↗ | Dec 26, 2017 D/A File 021-129776 | $0 | $132,718 (est.) | $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 ↗ | 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 26, 2017 D/A File 021-129743 | $0 | $8,940 (est.) | $0 | SMH Capital Inc. BrokerCheck CRD 20580 ↗ VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗ VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗ |
| 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 021-158196 | $0 | $68,485 | $0 | Christianson Investment Partners no CRD number reported Christenson Investment Partners no CRD number reported VSR Financial Services Incorporated BrokerCheck CRD 14503 ↗ |
| EDGAR ↗ | Dec 26, 2017 D/A File 021-194923 | $0 | $0 | $0 | None listed on this filing |
| 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 ↗ |
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 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 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 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 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 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 | 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 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 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 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 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 | 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, Director 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, Director 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, Director 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, Director 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, Director 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, Director 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, Director 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, Director | 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, Director 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, Director 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 |
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.
Not linked to this profile — a second identifier (same issuer, same sponsor group) was not found. Could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Peter Moran. 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.
Export this report as PDF (members · included free during the launch period)
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Peter Moran appears on a new Form D, or when a court case or SEC action is matched to them. See plans →