PENBROOK MANAGEMENT LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	3
Registered State Investment Advisers	4
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	182	$175.2M
Non-Discretionary	0	$0
Total	182	$175.2M

Clients

Type	Number	RAUM
Individuals	39	$8.0M
HNW Individuals	46	$144.3M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	1	$8.0M
Pension and profit sharing plans	<5	$3.5M
Charitable organizations	<5	$7.7M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	<5	$3.7M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	4
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting services
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-63460
SEC ERA File Number	801-63460
SEC CIK Numbers	1381055
SEC CRD Numbers	127269
Legal Entity Identifier	None

Principal Office

880 THIRD AVENUE
16TH FLOOR
NEW YORK
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic