Form D · Hedge Fund

PENN FINANCIAL SERVICES FUND LP

Philadelphia, PA · CIK 0001460795

Offering snapshot reported Mar 15, 2012 · SEC filing

Reported sold: $3.04M
Investors reported: 13
Minimum accepted: $0
First sale: Oct 4, 2006

Fundraising history

Reported sold

Dates 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.

Reported sold$2,951,532 → $3,042,357

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 15, 2012	Amendment	$3,042,357	$90,825vs Mar 14, 2011	13	SEC filing
Mar 14, 2011	Amendment	$2,951,532	$250,675vs Mar 12, 2010	13	SEC filing
Mar 12, 2010	Amendment	$2,700,857	No comparison	6	SEC filing
Mar 18, 2009	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-129825

Source: Form D, filed Mar 15, 2012. 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 FINANCIAL SERVICES FUND LP

Investment adviser: PENN CAPITAL MANAGEMENT COMPANY, LLC

Gross asset value: $2.38M
Beneficial owners: 14
ADV minimum commitment: $1M

Reported in Form ADV on Mar 29, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator J.D. CLARK & COMPANY OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNERAMPER LLP JENKINTOWN, Pennsylvania, United States

Custodian U.S. BANK INSTITUTIONAL TRUST & CUSTODY CINCINNATI, Ohio, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Filing source

Form ADV 609030 · Mar 29, 2012 · Schedule D 7.B.(1), fund 805-2187957225

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.

People and organizations reported in Form D filings
Name	Reported role
Eric J. Green	Executive
Marcia A. Hocker	Director, Executive
Kimberly A. Hocker	Director
Kirsten A. Hocker	Director
Richard A. Hocker	Director, Executive
Gerald Mc Bride	Executive
Christian M. Noyes	Executive
Scott D. Schumacher, Sr.	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Navy Yard Corporate Center 3 Crescent Drive, Suite 400
Philadelphia, PA, 19112