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PENN MUTUAL ASSET MANAGEMENT, LLC

CONSHOHOCKEN, PA · CRD 107518 · IAPD ↗ · pennmutualam.com · 215-956-8114

$42.29BRegulatory AUM
30Advisory reps
30Employees
1Clients
n/aPlanning clients
0Private funds
2States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

37
May 2026 — PENN MUTUAL ASSET MANAGEMENT, LLC notice-filed in DE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
May 2026 — PENN MUTUAL ASSET MANAGEMENT, LLC shrank from 35 to 30 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
30
December 2024 — PENN MUTUAL ASSET MANAGEMENT, LLC filed an Item 4A succession naming PENN MUTUAL ASSET MANAGEMENT, LLC (CRD 107518) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
35
April 2024 — PENN MUTUAL ASSET MANAGEMENT, LLC moved its main office from HORSHAM, PA to CONSHOHOCKEN, PA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
40
April 2024 — PENN MUTUAL ASSET MANAGEMENT, LLC shrank from 38 to 33 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.