Pender Capital Management, Llc
- Regulatory AUM
- $661M
- Discretionary
- $661M
- Clients
- 2
- Avg AUM / client
- $331M
- Accounts
- 2
- Employees
- 14
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $586M | 88.7% |
| Pooled investment vehicles (non-investment companies) | 1 | $75.0M | 11.3% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $50.0M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Pc Able Sma 1, Lp | Real Estate Fund | Delaware | $50.0M | 2 |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Johnson, Cory, Allen | Managing Director | Aug 2014 (12y) | ≈ 37.5% – 75% via Pender Capital, Inc. | |
| Aro, Jason, Bradford | Chief Compliance Officer | Jan 2022 (5y) | Less than 5% | |
| Murphy, Zachary, Wilkinson | Ceo | Jun 2023 (3y) | ≈ 18.75% – 50% via Rem Capital Management Inc. |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pender Capital, Inc. | Member | Jun 2015 | A | 50% – 75% |
| Rem Capital Management Inc. | Member | Jun 2023 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Johnson, Cory, Allen: 75% – 100% of Pender Capital, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Murphy, Zachary, Wilkinson: 75% – 100% of Rem Capital Management Inc. × 25% – 50% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $50.0M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Pc Able Sma 1, Lp | Real Estate Fund | $50.0M | $100K | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 1.41 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FAILURE TO TIMELY FILE ANNUAL REPORT REQUIRED BY CALIFORNIA FINANCIAL CODE SECTION 22159 Status: Final Sanction Detail: ON APRIL 03, 2020, THE CALIFORNIA COMMISSIONER OF BUSINESS OVERSIGHT REVOKED PENDER CAPITAL ASSET BASED LENDING FUND I, L.P.'S (THE "FUND") CFL LICENSE (NO. 60DBO-43830), AND SHORTLY THEREAFTER, ON APRIL 27, 2020, RESCINDED THE REVOCATION PURSUANT TO CONSENT ORDER . AS PART OF SUCH ORDER, THE FUND AGREED TO PAY AN ADMINISTRATIVE PENALTY OF $4,000 (WHICH WAS PAID ON APRIL 27, 2020). Summary: PENDER CAPITAL MANAGEMENT, LLC ("THE FIRM"), SERVES AS GENERAL PARTNER AND INVESTMENT ADVISER OF THE FUND, BY AND THROUGH ITS AFFILIATE. THE FIRM WAS SIGNIFICANTLY IMPACTED BY THE GLOBAL PANDEMIC KNOWN AS COVID-19 CAUSING ILLNESS, REQUIRING ITS CORPORATE OFFICE TO CLOSE, AND EMPLOYEES TO WORK FROM HOME PURSUANT TO STATE ORDERED MANDATE. AS A RESULT, THE FIRM WAS UNABLE TO TIMELY FILE THE FUND'S CFL ANNUAL REPORT. THE CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT REVOKED THE FUND'S CFL LICENSE (NO. 60DBO-43830), AND SHORTLY THEREAFTER, RESCINDED THE REVOCATION PURSUANT TO A CONSENT ORDER, RESULTING IN THE FIRM PAYING AN ADMINISTRATIVE PENALTY OF $4,000.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • ORIGINATION/EXIT/EXTENSION FEES
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 23, 2026.
View current Form ADV (SEC/IAPD) ↗