PENCE CAPITAL MANAGEMENT, LLC
Adviser information for PENCE CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 24 | $1.1B |
| Total | 24 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $47.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 409 | $93.5M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 7 | $941.3M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesPERCENTAGE OF ASSETS UNDER ADVISEMENT |
Identifiers
| SEC RIA File Number | 801-128559 |
|---|---|
| SEC ERA File Number | 801-128559 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281739 |
| Legal Entity Identifier | None |
Principal Office
5000 BIRCH STREET, SUITE 8000NEWPORT BEACH
CA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 949-660-8777, Fax: 949-660-8778
Chief Compliance Officer
DRYDEN PENCE
MANAGING MEMBER
5000 BIRCH STREET, SUITE 8000
NEWPORT BEACH
CA
United States
Tel:
949-660-8777
Fax:
949-660-8778
D***********@***************M
(Full email address available in API data)
Industry Affiliates
| PENCE INSURANCE CENTER | Insurance company or agency |
| PENCE REAL ESTATE, INC. | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARSHALLPENCE, LAILA, SOBHI | Individual | – | MEMBER | 12/2015 | 50-75% |
| PENCE, ELDON, DRYDEN | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 12/2015 | 50-75% |