Asset manager · Dallas, TX
Pender Capital Management, LLC
SEC-registered investment adviser · CRD 281448 · SEC 801-113467
At a glance
Pender Capital Management, LLC is an SEC-registered investment adviser based in Dallas, Texas, with $661 million in regulatory assets under management as of its Form ADV filed March 23, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 1,560th of 3,218 asset managers and 6,748th of 17,210 SEC-registered advisers by assets.
Main office 214-988-9914pendercapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $661M
- Rank among asset managers
- #1,560 of 3,218
- Rank among all SEC RIAs
- #6,748 of 17,210
- Rank in Texas
- #421 of 1,081
- Clients
- 2
- Accounts
- 2
- Discretionary
- 100% of AUM
- Employees
- 14
- Advisory staff
- 13
- Offices
- 2
Owners and executives on its Form ADV
- Cory A. JohnsonManaging Director; CEO
- Jason B. AroChief Compliance Officer
Custody and brokerage
Custodian
Pender Capital Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $586M | 89% |
| Pooled investment vehicles | 1 | $75M | 11% |
Private funds
Pender Capital Management, LLC reports 1 private funds with $75M in gross assets: real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Pender Capital Management, LLC answers yes to 6 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗pendercapital.com ↗
AtlasMembers
The full record on Pender Capital Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
- Locked
- Growth over one, three and five years
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- Rank against 1,016 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Pender Capital Management, LLC manage?
Pender Capital Management, LLC reports $661 million in regulatory assets under management across 2 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 23, 2026.
What kind of firm is Pender Capital Management, LLC?
Pender Capital Management, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Pender Capital Management, LLC’s clients?
By assets, its largest client types are investment companies ($586 million, 1 clients); pooled investment vehicles ($75 million, 1 clients).
Does Pender Capital Management, LLC manage private funds?
Yes. It reports 1 private funds with $75 million in gross assets, including real estate funds.
Does Pender Capital Management, LLC have any disciplinary history?
Pender Capital Management, LLC answers yes to 6 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Pender Capital Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →