at


Investment Adviser Firm Summary

PENN CAPITAL MANAGEMENT COMPANY, INC. (CRD# 105081 / SEC# 801-31452)
Alternate Names: PENN CAPITAL MANAGEMENT CO INC , PENN CAPITAL MANAGEMENT COMPANY, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/12/1988

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/31/2006
Alaska 02/03/2006
Arizona 09/01/2005
Arkansas 02/02/2006
California 08/15/2002
Colorado 09/01/2005
Connecticut 08/15/2002
Delaware 02/06/2006
District of Columbia 01/31/2006
Florida 08/16/2002
Georgia 01/31/2003
Hawaii 09/01/2005
Idaho 01/31/2006
Illinois 08/16/2002
Indiana 01/31/2006
Iowa 12/18/2002
Kansas 01/31/2006
Kentucky 01/31/2006
Louisiana 01/31/2006
Maine 01/31/2006
Maryland 09/01/2005
Massachusetts 09/01/2005
Michigan 10/31/2002
Minnesota 02/06/2006
Mississippi 01/31/2006
Missouri 09/01/2005
Montana 01/31/2006
Nebraska 01/31/2006
Nevada 01/31/2006
New Hampshire 01/31/2006
New Jersey 01/31/2001
New Mexico 01/31/2006
New York 08/15/2002
North Carolina 09/01/2005
North Dakota 01/31/2006
Ohio 01/31/2003
Oklahoma 01/31/2006
Oregon 01/31/2003
Pennsylvania 02/23/1993
Rhode Island 01/31/2006
South Carolina 09/01/2005
South Dakota 02/02/2006
Tennessee 02/01/2006
Texas 08/15/2002
Utah 01/31/2006
Vermont 01/31/2006
Virginia 09/01/2005
Washington 08/15/2002
West Virginia 01/31/2006
Wisconsin 01/31/2006
Wyoming 03/30/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser