SEC-Registered Investment Adviser
Penbrook Management LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated May 28, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- August 27, 2004
- Principal office
- 880 Third Avenue, 16th Floor, New York, NY 10022
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 2
- Website
- www.penbrookllc.com
Scale
- Regulatory AUM
- $175.4M
- Attributable to non-US clients
- $9.8M
- Accounts
- 168
- Clients
- 0
- Employees
- 4, 4 in advisory roles
- Private funds advised
- 1
- Private fund gross assets
- $9.3M
- Fund types
- 1 hedge funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $20.9M reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- financial planning, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and pension consulting
- Compensated by
- a percentage of assets under management
- Client types
- individuals (other than high net worth) (37); high net worth individuals (37); pooled investment vehicles (1); pension and profit sharing plans (1); charitable organizations (3); corporations or other businesses (2)
- Related persons include
- another investment adviser and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 1 investment adviser
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2))
- other regulator order, denial, suspension or revocation (Item 11D(4))
- civil proceeding pending (Item 11H(2))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.