Penn Capital Management Company, Llc
- Regulatory AUM
- $1.9B
- Discretionary
- $1.5B
- Clients
- 631
- Avg AUM / client
- $3.1M
- Accounts
- 602
- Employees
- 16
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Investments (13F portfolio — 172 positions, $1,290,414,276)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Mirum Pharmaceuticals Inc | COM | $23,775,181 | 256,767 | 1.84% | 1.23% |
| 2 | Caesars Entertainment Inc Ne | COM | $23,731,665 | 895,540 | 1.84% | 1.22% |
| 3 | Gulfport Energy Corp | COMMON SHARES | $23,624,824 | 111,408 | 1.83% | 1.22% |
| 4 | Weatherford Intl Plc | ORD SHS | $22,571,027 | 238,028 | 1.75% | 1.16% |
| 5 | Select Water Solutions Inc | CL A COM | $22,369,368 | 1,458,893 | 1.73% | 1.15% |
| 6 | Chemours Co | COM | $21,665,011 | 981,365 | 1.68% | 1.12% |
| 7 | Banc Of California Inc | COM | $21,371,674 | 1,213,010 | 1.66% | 1.1% |
| 8 | Transocean Ltd | REGISTERED SHS | $20,958,139 | 3,152,566 | 1.62% | 1.08% |
| 9 | Constellium Se | CL A SHS | $20,814,272 | 844,934 | 1.61% | 1.07% |
| 10 | Dime Cmnty Bancshares Inc | COM | $20,661,921 | 609,488 | 1.6% | 1.07% |
| 11 | Ameris Bancorp | COM | $20,565,709 | 263,029 | 1.59% | 1.06% |
| 12 | Legence Corp | CL A | $20,163,614 | 356,315 | 1.56% | 1.04% |
| 13 | Rxo Inc | COMMON STOCK | $19,748,470 | 1,347,550 | 1.53% | 1.02% |
| 14 | Ligand Pharmaceuticals Inc | COM NEW | $19,077,735 | 95,456 | 1.48% | 0.98% |
| 15 | Lumen Technologies Inc | COM | $18,866,207 | 2,707,654 | 1.46% | 0.97% |
| 16 | Calix Inc | COM | $18,590,822 | 378,564 | 1.44% | 0.96% |
| 17 | Ssr Mining In | COM | $18,163,774 | 616,613 | 1.41% | 0.94% |
| 18 | Amentum Holdings Inc | COM | $18,152,703 | 694,352 | 1.41% | 0.94% |
| 19 | Gates Indl Corp Plc | ORD SHS | $18,116,476 | 799,267 | 1.4% | 0.93% |
| 20 | Tg Therapeutics Inc | COM | $18,046,972 | 541,960 | 1.4% | 0.93% |
| 21 | Celanese Corp Del | COM | $17,863,034 | 270,998 | 1.38% | 0.92% |
| 22 | Ouster Inc | COM NEW | $17,853,228 | 969,605 | 1.38% | 0.92% |
| 23 | Newmark Group Inc | CL A | $17,346,186 | 1,154,425 | 1.34% | 0.89% |
| 24 | Penn Entertainment Inc | COM | $16,825,887 | 1,116,813 | 1.3% | 0.87% |
| 25 | Fb Finl Corp | COM | $16,617,120 | 319,597 | 1.29% | 0.86% |
Top 25 of 172 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 60 | $30.5M | 1.57% |
| Investment companies | 2 | $96.8M | 4.99% |
| Pooled investment vehicles (non-investment companies) | 2 | $89.3M | 4.61% |
| Pension and profit sharing plans | Fewer than 5 clients | $87.6M | 4.52% |
| Charitable organizations | Fewer than 5 clients | $121M | 6.26% |
| State or municipal government entities | Fewer than 5 clients | $994M | 51.2% |
| Insurance companies | Fewer than 5 clients | $26.7M | 1.38% |
| Corporations and other businesses | Fewer than 5 clients | $16.2M | 0.83% |
| Other | 567 | $477M | 24.6% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| United Food & Commercial Workers Union Local 152 Retail Meat Pension Plan Board Of Trustees, United Food & Commercial Workers Union Local 152 | 2024 | |
| I.U.O.E. Local 132 Pension Fund I.U.O.E. Local 132 Pension Fund | Huntington, WV | 2024 |
| Elevator Constructors Union Local 1 Annuity And 401 K Fund Bd Of Tees Of Elevator Constructors Union Local No. 1 Annuity & 401 K F | 2024 |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Green, Eric, Jon | Chief Investment Officer Senior Portfolio Manager | Dec 2019 (7y) | 10% – 25% | |
| Maguire, Joseph, C | Director Of Research, Senior Portfolio Manager | Dec 2019 (7y) | 5% – 10% | |
| Keane, Martin, P | Chief Compliance Officer | Mar 2024 (2y) | Less than 5% | |
| Lawrence, Pamela, Marie | President | Jul 2024 (2y) | Less than 5% | |
| Meagher, Michael, Jefferson | Member | Jul 2024 (2y) | GP / trustee / elected manager of Seaport Global Holdings Llc (indirect) | |
| Meyer, Michael, John | Member | Jul 2024 (2y) | GP / trustee / elected manager of Seaport Global Holdings Llc (indirect) | |
| Smith, Stephen, Corcoran | Member | Jul 2024 (2y) | GP / trustee / elected manager of Seaport Global Holdings Llc (indirect) | |
| Richard Alan Hocker | Registered representative | Feb 1993 (33y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sgam Advisors Llc | Member | Jul 2024 | A | 50% – 75% |
| Seaport Global Holdings Llc | Owner | Jul 2024 | B | ≈ 25% – 56.25% via Sgam Advisors Llc |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Seaport Global Holdings Llc: 50% – 75% of Sgam Advisors Llc × 50% – 75% direct ≈ 25% – 56.25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| United Food & Commercial Workers Union Local 152 Retail Meat Pension Plan | Board Of Trustees, United Food & Commercial Workers Union Local 152 | 1,488 | $530M | 07/01/2024 |
| I.U.O.E. Local 132 Pension Fund | I.U.O.E. Local 132 Pension Fund | 1,524 | $559M | 04/01/2024 |
| Elevator Constructors Union Local 1 Annuity And 401 K Fund | Bd Of Tees Of Elevator Constructors Union Local No. 1 Annuity & 401 K F | 3,038 | $1.7B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.48 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- J.P. Morgan $763M (39% of AUM) Mar 2026
- BNY Mellon $411M (21% of AUM) Mar 2026
- State Street $303M (10% of AUM) Jun 2020
- Northern Trust $238M (8% of AUM) Aug 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗