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Richard Alan Hocker

Penn Capital Management Company, LLC

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About Richard Alan Hocker

Richard Hocker is an investment advisor representative with Penn Capital Management Company, LLC. Richard has been in the industry since 1978 and is registered with the states of New Jersey, Pennsylvania and Texas. He has previously worked with Kildare Capital, Vanguard Capital, SEI Investments Distribution Co., Penn Center Investments, Inc., S.N. Phelps & Co., Delaware Distributors,Inc., and Delaware Management Company, Inc. Richard has passed the Series 40 exam for the Registered Principal Examination and is licensed to manage portfolios for businesses, individuals, investment companies and pooled investment vehicles.

Firm Information

Richard Hocker is currently registered with Penn Capital Management Company, LLC. Penn Capital Management Company, LLC is a Pennsylvania-based investment advisor with approximately $1 billion to $10 billion in assets under management. The firm provides portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. Penn Capital Management Company, LLC also offers a wrap fee program.
Penn Capital Management Company, LLC

1200 INTREPID AVENUE

PHILADELPHIA, PA 19112

$1.70B

Assets Under Management

724

Total Clients

1

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Richard Hocker’s Registration & Firm History

NJ

11/06/2002 - Present

Penn Capital Management Company, LLC (CHERRY HILL NJ)

PA

04/04/2006 - 10/08/2007

KILDARE CAPITAL (PHILADELPHIA PA)

CA

02/18/2004 - 07/11/2005

VANGUARD CAPITAL (DEL MAR CA)

PA

02/25/1998 - 05/31/2002

SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)

GA

12/10/1993 - 12/12/1996

PENN CENTER INVESTMENTS, INC. (ATLANTA GA)

NA

04/21/1989 - 12/31/1991

S.N. PHELPS & CO.

NA

07/01/1985 - 10/20/1987

DELAWARE DISTRIBUTORS,INC.

NA

03/09/1978 - 11/29/1985

DELAWARE MANAGEMENT COMPANY, INC.

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Licenses & Designations

BC

Issued 02/23/1978

Series 40 - Registered Principal Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Richard Alan Hocker.
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