Form D · Hedge Fund
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
Philadelphia, PA · CIK 0001461084
Offering snapshot reported Dec 14, 2018 · SEC filing
- Reported sold
- $9.41M Indefinite offering
- Investors reported
- 41 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Sep 1, 2006 As reported in this filing
Fundraising history
Reported soldDates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 14, 2018 | Amendment | $9,407,322 | $0vs Dec 26, 2017 | 41 | SEC filing |
| Dec 26, 2017 | Amendment | $9,407,322 | $0vs Dec 27, 2016 | 41 | SEC filing |
| Dec 27, 2016 | Amendment | $9,407,322 | $1,530,198vs Mar 11, 2016 | 41 | SEC filing |
| Mar 11, 2016 | Amendment | $7,877,124 | $0vs Mar 16, 2015 | 41 | SEC filing |
| Mar 16, 2015 | Amendment | $7,877,124 | $300,000vs Mar 17, 2014 | 41 | SEC filing |
| Mar 17, 2014 | Amendment | $7,577,124 | $532,613vs Mar 15, 2013 | 40 | SEC filing |
| Mar 15, 2013 | Amendment | $7,044,511 | $2,111,511vs Mar 15, 2012 | 38 | SEC filing |
| Mar 15, 2012 | Amendment | $4,933,000 | $293,635vs Mar 14, 2011 | 34 | SEC filing |
| Mar 14, 2011 | Amendment | $4,639,365 | $111,760vs Mar 12, 2010 | 34 | SEC filing |
| Mar 12, 2010 | Amendment | $4,527,605 | No comparison | 31 | SEC filing |
| Mar 18, 2009 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $10.3K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-129743
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| SMH Capital Inc. | 20580 | |
| VSR Financial Services Incorporated | 14503 | |
| Strategic Financial Alliance Inc. | 126514 |
Source: Form D, filed Dec 14, 2018. Minimum accepted may differ from a standard advertised minimum.
Fund connections
The linked fund shows its most recently reported ADV details.
Matched by reported Form D file number
PENN DIVERSIFIED MICRO CAP EQUITY FUND LP
Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC
- Gross asset value
- $1.97M
- Beneficial owners
- 15
- ADV minimum commitment
- $500K
Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
EISNERAMPER LLP
PCAOB 274
THE STRATEGIC FINANCIAL ALLIANCE
CRD 126514 · SEC 801-62226
Filing source
Form ADV 1293986 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-1344456024
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Eric J. Green | Executive |
| Richard A. Hocker | Director, Executive |
| Marcia A. Hocker | Director, Executive |
| Kimberly A. Hocker | Director |
| Kirsten A. Hocker | Director, Executive |
| Kimberley A. Hocker | Director |
| Gerald Mc Bride | Director, Executive |
| Peter Moran | Executive |
| Christian M. Noyes | Executive |
| Scott D. Schumacher | Director, Executive |
| Scott D. Schumacher, Sr. | Executive |
| Jorge Paulo Silva | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Philadelphia, PA, 19112