Richard A. Hocker

PENN CAPITAL MANAGEMENT COMPANY

CHERRY HILL, NJ 08002

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CRD#: 850185

Professional summary

Richard Alan Hocker, who also goes by Richard A Hocker, is a registered financial advisor currently at PENN CAPITAL MANAGEMENT COMPANY, LLC located in Cherry Hill, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Richard has worked at 8 firms and has passed the Series 40 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard A Hocker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Hocker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 23, 1993 - Present

PENN CAPITAL MANAGEMENT COMPANY, LLC

Office #1: 457 Haddonfield Road Suite 310, Cherry Hill, NJ 08002

RIA

CRD#: 105081

CHERRY HILL, NJ

Past

April 4, 2006 - October 8, 2007

KILDARE CAPITAL, INC.

CRD#: 45796

PHILADELPHIA, PA

Past

February 18, 2004 - July 11, 2005

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

February 25, 1998 - May 31, 2002

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

December 10, 1993 - December 12, 1996

MOODY CAPITAL SOLUTIONS, INC

CRD#: 15989

ALPHARETTA, GA

Past

April 21, 1989 - December 31, 1991

S.N. PHELPS & CO.

CRD#: 18341

Past

July 1, 1985 - October 20, 1987

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

Past

March 9, 1978 - November 29, 1985

DELAWARE MANAGEMENT COMPANY, INC.

CRD#: 212

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENN CAPITAL MANAGEMENT COMPANY, LLC

PENN CAPITAL MANAGEMENT CO INC | PENN CAPITAL MANAGEMENT COMPANY, LLC | PENN CAPITAL MANAGEMENT COMPANY, INC.

CRD#: 105081 / SEC#: 801-31452

RIA

Registered Investment Advisory firm - (2/12/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/17/2003)

IAR

Pennsylvania
(2/23/1993)

IAR

Texas
(11/6/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Principal/Supervisory Exam

Series 40

Date: 2/23/1978

Registered Principal Examination

Current Firm

PENN CAPITAL MANAGEMENT COMPANY, LLC

PENN CAPITAL MANAGEMENT CO INC | PENN CAPITAL MANAGEMENT COMPANY, LLC | PENN CAPITAL MANAGEMENT COMPANY, INC.

CRD#: 105081 / SEC#: 801-31452

RIA

Registered Investment Advisory firm - (2/12/1988 Approved)

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Contact information

Main Address

1200 Intrepid Avenue Suite 400, Philadelphia, PA 19112

Mailing Address

Phone number

(215) 302-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PENN CAPITAL PART 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	724
AUM (Assets Under Management)	$ 1,600,166,422

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard A. Hocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Hocker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENN CAPITAL MANAGEMENT COMPANY, LLC

KILDARE CAPITAL, INC.

VANGUARD CAPITAL

SEI INVESTMENTS DISTRIBUTION CO.

MOODY CAPITAL SOLUTIONS, INC

S.N. PHELPS & CO.

DELAWARE DISTRIBUTORS, L.P.

DELAWARE MANAGEMENT COMPANY, INC.

Primary Firm SEC Registration

PENN CAPITAL MANAGEMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 40

Date: 2/23/1978

Current Firm

PENN CAPITAL MANAGEMENT COMPANY, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENN CAPITAL MANAGEMENT COMPANY, LLC

TRUST BUT VERIFY

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