Peninsula Equity Capital

Peninsula Equity Capital is a state-registered investment adviser that primarily targets institutional clients and pooled vehicles while also offering discretionary investment management for equity-focused portfolios, institutional consulting, and project-based financial planning. The firm provides advice on a broad set of instruments and situations, including allocations in held-away assets and variable insurance products as part of its advisory services.

The firm’s investment process combines fundamental, cyclical and behavioral analysis to identify businesses trading below intrinsic value with an intent to hold for the long term, though shorter holding periods can occur. Its strategy emphasizes concentrated equity positions (including small- and mid-cap and technology exposures) and explicitly contemplates the use of derivatives and options for hedging and trading purposes within separately managed accounts.

Noteworthy features include that the firm was recently established and currently operates with a single investment professional and no assets under management, reflecting a start-up stage of operations. The Form ADV discloses that the firm uses derivatives in separately managed accounts (a relatively uncommon practice among peers) and includes prior industry regulatory matters for the principal in its disclosures; the firm also provides financial planning to managed-account clients at no additional charge.