PENDER CAPITAL MANAGEMENT, LLC
Adviser information for PENDER CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, United States |
Employees
Total Number of Employees | 16 |
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Investment Advisory/Research | 12 |
Registered Broker-Dealer Representatives | 2 |
Registered State Investment Advisers | 2 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 2 | $389.1M |
Non-Discretionary | 0 | $0 |
Total | 2 | $389.1M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 1 | $339.1M |
Business development companies | 0 | $0 |
Pooled investment vehicles | 1 | $50.0M |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
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 | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
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Compensation | % of AUMPerformance-based feesORIGINATION/EXIT/EXTENSION FEES |
Identifiers
SEC RIA File Number | 801-113467 |
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SEC ERA File Number | 801-113467 |
SEC CIK Numbers | None |
SEC CRD Numbers | 281448 |
Legal Entity Identifier | None |
Principal Office
8235 DOUGLAS AVESUITE 1305
DALLAS
TX
United States
Monday - Friday, 9:00-6:00
Tel: 214-988-9914, Fax: None
Chief Compliance Officer
JASON ARO
CHIEF COMPLIANCE OFFICER
11766 WILSHIRE BOULEVARD
SUITE 1460
LOS ANGELES
CA
United States
Tel:
310-853-8001
Fax:
310-853-8002
J********@****************M
(Full email address available in API data)
Regulatory Contact
CORY JOHNSON
MANAGING DIRECTOR
11766 WILSHIRE BOULEVARD
SUITE 1460
LOS ANGELES
CA
United States
Tel:
310-853-8001
Fax:
310-853-8002
C***@****************M
(Full email address available in API data)
Industry Affiliates
PC ABL SMA 1 GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
PENDER CAPITAL, INC. | Real estate broker or dealer |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|---|---|---|---|
PC ABLE SMA 1, LP | Real Estate Fund | $50.0M | $0.1M | 2 |
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
Aro, Jason, Bradford | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
Johnson, Cory, Allen | Individual | – | MANAGING DIRECTOR | 06/2015 | < 5% |
PENDER CAPITAL, INC. | Domestic Entity | – | MEMBER | 06/2015 | 50-75% |
Johnson, Cory, Allen | Individual | PENDER CAPITAL, INC. | CEO | 08/2014 | > 75% |
REM CAPITAL MANAGEMENT INC. | Domestic Entity | – | MEMBER | 06/2023 | 25-50% |
Murphy, Zachary, Wilkinson | Individual | REM CAPITAL MANAGEMENT INC. | CEO | 06/2023 | > 75% |