PENN CAPITAL MANAGEMENT
29 known aliases resolved via the canonical alias map
Market position · 2024
Plans served3-4 YoYRank #2993 of mapped providers
Assets under administration$2.8B0.0%Market share · rank #2635
Fees received$127,158Median $28,830/planSum across Schedule C direct + indirect
Net wins YoY-40 won · 4 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical PENN CAPITAL MANAGEMENT plan look like?
Service mix · median fees per plan
Count of plans where PENN CAPITAL MANAGEMENT ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Soft dollars commissions; Investment management fees paid directly by plan; Investment management; Investment management fees paid indirectly by planCode 28 | 3 | $28,830 |
Competitor overlap
Percent of PENN CAPITAL MANAGEMENT's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under PENN CAPITAL MANAGEMENT.
| Sponsor | From | Assets |
|---|
Plans lost in 2024
Appeared last year under PENN CAPITAL MANAGEMENT; not this year.
| Sponsor | To | Assets |
|---|---|---|
BOT OF RESILIENT FLOOR COVERING PENSION FUNDCA · 946284071-001 | ROAD RUNNER | $412M |
WORTH & COMPANY, INC.PA · 232251312-002 | KREISCHER MILLER | $71M |
TRUSTEES OF THE PLUMBERS & PIPEFITTERS LOCAL UNION 719 PENSION FUNDFL · 596178477-001 | LAPADULA CARLSON & CO | $65M |
PENN JERSEY PAPER PAPER COMPANYPA · 872383181-002 | (new plan) | $1M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
BD OF TEES OF ELEVATOR CONSTRUCTORS UNION LOCAL NO. 1 ANNUITY & 401K FNJ · 516124191-001 | $1.7B | 4,276 | $91,433 | 10y | 1 |
I.U.O.E. LOCAL 132 PENSION FUNDWV · 556015364-001 | $559M | 4,062 | $28,830 | 10y | - |
BOARD OF TRUSTEES, UNITED FOOD & COMMERCIAL WORKERS UNION LOCAL 152NJ · 236209656-001 | $530M | 9,885 | $6,895 | 10y | - |
Flag exposure
100.0%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (29)
Raw Schedule C names collapsed into PENN CAPITAL MANAGEMENT.
- PENN CAPITAL
- PENN CAPITAL MANAGEMENT
- PENN CAPITAL MANAGEMENT CO
- PENN CAPITAL MANAGEMENT CO INC
- PENN CAPITAL MANAGEMENT CO LLC
- PENN CAPITAL MANAGEMENT CO, INC
- PENN CAPITAL MANAGEMENT CO, INC.
- PENN CAPITAL MANAGEMENT CO.
- PENN CAPITAL MANAGEMENT CO. INC.
- PENN CAPITAL MANAGEMENT CO., INC
- PENN CAPITAL MANAGEMENT CO., INC.
- PENN CAPITAL MANAGEMENT COMPANY
- PENN CAPITAL MANAGEMENT COMPANY INC
- PENN CAPITAL MANAGEMENT COMPANY,INC
- PENN CAPITAL MANAGEMENT, CO., INC.
- PENN CAPITAL MANAGEMENT, INC.
- PENN CAPITAL MANAGEMENTCOMPANY
- PENN CAPITAL MANAGMENT
- PENN CAPITAL MANAGMENT COMPANY
- PENN CAPITAL MANAGMENT COMPANY, INC
- PENN CAPITAL MGMT
- PENN CAPITAL MGMT CO. INC.
- PENN CAPTIAL MANAGEMENT CO., INC.
- PENN CORE
- PENN INVEST ADVISORS
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for PENN CAPITAL MANAGEMENT's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 1 | 33.33% | 1.71% | +31.62 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 0 | 0.00% | 1.76% | -1.76 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with PENN CAPITAL MANAGEMENT. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%+0.0 pp vs incumbent