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Managing Director and General Counsel · Pennantpark Investment Advisers, LLC

Adam R. Katz

CRD 7630521 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Pennantpark Investment Advisers, LLC, an SEC-registered asset manager based in Miami Beach, FL with $6.2 billion in regulatory assets, lists Adam R. Katz on its Form ADV as Managing Director and General Counsel, a control person. The SEC filings also name Adam at 1 other registered adviser.

Firms and roles

AtlasMembers

Adam’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Arthur H. PennManaging Member, Pennantpark Investment Advisers, LLC
  • Lee D. CaneyCo-Trustee of Arthur H. Penn 2021 Trust, Pennantpark Investment Advisers, LLC
  • Ilene D. PennTrustee of Arthur H. Penn 2021 Trust MCP 2012 GST Trust ASP 2012 GST Trust ESP 2012 GST Trust, Pennantpark Investment Advisers, LLC
  • Gerald R. CumminsChief Compliance Officer, Pennantpark Investment Advisers, LLC
  • Richard T. AllortoChief Financial Officer, Pennantpark Investment Advisers, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Adam’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.