Unclaimed Profile

Richard Alan Hocker

PENN CAPITAL MANAGEMENT COMPANY, LLC·PHILADELPHIA, Pennsylvania

Series 40Clean record33 years registeredPENN CAPITAL MANAGEMENT COMPANY, LLC

1200 INTREPID AVENUE, PHILADELPHIA, PA 19112CRD# 850185Firm CRD# 105081

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Alan Hocker · PHILADELPHIA, PA

Registration

CRD #850185 · PENN CAPITAL MANAGEMENT COMPANY, LLC · 33 years registered

Brand Profile

Not yet started

Career History

PENN CAPITAL MANAGEMENT COMPANY, LLC

Feb 1993 – present

Registrations & Exams

FINRA examinations passed

Series 40

Registration record

First registered · February 23, 1993

Years registered · 33

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PENN CAPITAL MANAGEMENT COMPANY, LLC

CRD 105081 · SEC 801-31452

AUM

$1.7B

Regulatory assets under management

Employees

934 client accounts

Services offered by PENN CAPITAL MANAGEMENT COMPANY, LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at PENN CAPITAL MANAGEMENT COMPANY, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Alan Hocker offer?

Richard Alan Hocker specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in PHILADELPHIA, Pennsylvania for a consultation.

What are Richard Alan Hocker's credentials?

Richard Alan Hocker is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Alan Hocker located?

Richard Alan Hocker is based in PHILADELPHIA, Pennsylvania, working with PENN CAPITAL MANAGEMENT COMPANY, LLC. Their office serves clients in the PHILADELPHIA metropolitan area and surrounding communities.

How does Richard Alan Hocker charge for services?

Richard Alan Hocker's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PENN CAPITAL MANAGEMENT COMPANY, LLC?

PENN CAPITAL MANAGEMENT COMPANY, LLC has approximately 19 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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