SourcingSourcing

PENNANTPARK INVESTMENT ADVISERS, LLC

C22
CRD 143149·SEC 801-67622·MIAMI BEACH, FL
AUM
$6.16B
$1B+
Est. Revenue
$61.6M
@ 1% on AUM
Est. EBITDA
$18.5M
@ 30% margin
Est. Deal Value
$147.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PENNANTPARK INVESTMENT ADVISERS, LLC
CRD
143149
SEC file #
801-67622
EIN
900873443
DBA names
—

Economics

AUM
$6.16B
AUM band
$1B+
AUM trajectory
'20'26
$2.45B → $6.16B▲ +151%
Client mix
Pooled Investment Vehicles12
Business Devel Companies2
Investment Companies1

Operations

Employees (total)
91
Advisory staff (per ADV)
30
Advisory staff (5-yr trend)
'20'26
24 advisors → 30 advisors▲ +25%
Primary office
MIAMI BEACH FL
Branches
—

Custodian & Brokerage

Primary custodian
BNY Mellonlow confidence
Services offered
Portfolio mgmt — investment companiesPortfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
linkedin.com/company/pennantpark(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PENN, ARTHUR, HOWARD
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
10
Control Persons
PENN, ARTHUR, HOWARD
ARTHUR H. PENN 2021 TRUST
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:pennantpark.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001556328
Edgar Registered
Yes
Edgar Filing Count
9
Edgar First Filing Date
2012-08-15
Edgar Last Filing Date
2014-08-07
Edgar Form D Count
3
Edgar Form D Offerings
2014-08-072014-08-07 · 0000945621-14-000217
2013-08-072013-08-07 · 0000945621-13-000263

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Bny Mellon27
E*trade4
U.s. Bank2
State Street1
Edgar Addresses
Mailing
590 MADISON AVENUE15TH FLOORNEW YORK, NY 10022
Business
590 MADISON AVENUE15TH FLOORNEW YORK, NY 10022
Edgar EIN
900873443
Edgar Recent Filings
D/A2014-08-07 · 0000945621-14-000217
40-APP/A2014-03-20 · 0001193125-14-108052
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1884880
Trust Company Affiliate
No

People (6)

6
PENN, ARTHUR, HOWARD
Direct Owner · 62.5%
1884880
ALLORTO, RICHARD, THOMAS
Executive Officer · 2.5%
5820810
KATZ, ADAM, ROSS
Executive Officer · 2.5%
7630521
Caney, Lee, Daniel
Executive Officer · 2.5%
7739569
CUMMINS, GERALD, RICHARD
Executive Officer · 2.5%
1322563
PENN, ILENE, D.
Executive Officer · 2.5%
5511699