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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:43 AM ET

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David G. Pendell

Named as an officer, director or promoter on SEC Form D filings · MI · Mar 19, 2010 → Aug 1, 2011

6deals (issuers)
$1.88Mreported sold
53investors
9Form D filings
2010–2011years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David G. Pendell is listed as an executive officer, director, and promoter on 9 SEC Form D filings by 6 issuers between Jul 2009 and Aug 2011. Largest by amount reported sold: ASC FISKER LLC (Petoskey, MI — pooled investment fund — 2010–2011; $1.27M reported sold to 38 investors), ASC SHS LLC (Petoskey, MI — pooled investment fund — 2010–2011; $498K reported sold to 10 investors), ASC XGS LLC (Petoskey, MI — pooled investment fund — 2010; $115K reported sold to 5 investors), ASC BRIGHTSOURCE LLC (Petoskey, MI — pooled investment fund — 2011), ASC Fisker, LLC (Petoskey, MI — pooled investment fund — 2009) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, director, and promoter, over about 2 years. Across those companies the filings report $1.88M sold in total.

Listed alongside Daniel C. Weyls (4 shared filings) and AdvancedStage Capital, LLC (1 shared filing, management entity).

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around David. Each name links to their own page.

All 6 issuers belong to the sponsor group Asc Fisker (6 issuers, $1.42M reported sold, 2009–2011).

What this means A sponsor group is one team that sets up a new company for each deal. Asc Fisker has 6 companies on file and $1.42M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 5 court cases matching the name, 10 bankruptcy cases matching the name listed in Key records below.

What this means 15 records came back, including 1 court case still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 9 public filings for David G. Pendell and found 11 differences, 4 worth asking the sponsor about: 69% of the money raised went to insiders; 35% of the money raised went to insiders; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for David G. Pendell has not run yet — it is joining a line of 39,392 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

5 cases: 1 open, 3 dismissed, 1 closed (disposition not in docket feed)

Pendell v. Sanofi Aventis U.S. LLC open
District Court, E.D. Louisiana · No. 2:22-cv-02604 · Filed Aug 10, 2022
Role of Pendell: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in LA (not a filing state)
Pendell v. IC Systems dismissed
District Court, E.D. Michigan · No. 2:11-cv-10273 · Filed Jan 21, 2011 · Closed Mar 17, 2011 · Nature of suit: 480 Consumer credit
Role of Pendell: Plaintiff · Outcome: Terminated 2011-03-17 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in the person's filing state (MI)
Pendell v. I.C. Sys Inc dismissed
District Court, D. Connecticut · No. 3:10-cv-01223 · Filed Aug 2, 2010 · Closed Sep 15, 2010 · Nature of suit: 480 Consumer Credit · Cause: 15:1692 Fair Debt Collection Act
Role of Pendell: Plaintiff · Outcome: Terminated 2010-09-15 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in CT (not a filing state)
Pendell v. Corning Incorporated closed
District Court, S.D. California · No. 3:95-cv-01730 · Filed Aug 9, 1995 · Closed Sep 28, 1995
Role of Pendell: Plaintiff · Outcome: Terminated 1995-09-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in CA (not a filing state)
Pendell Printing Inc v. Vickers Commun Corp dismissed
District Court, E.D. Michigan · No. 1:88-cv-10258 · Filed Sep 15, 1988 · Closed Jun 23, 1989 · Nature of suit: 190 Other contract actions
Role of Pendell Printing Inc: Plaintiff · Outcome: Terminated 1989-06-23 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in the person's filing state (MI)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:19 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched David G. Pendell..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

10 cases: 10 closed (disposition not in docket feed)

Mark Webb Green and Terry Pendell Green closed
United States Bankruptcy Court, W.D. North Carolina · No. 17-30496 · Filed Mar 29, 2017 · Closed May 12, 2021
Role of Mark Webb Green and Terry Pendell Green: Debtor · Outcome: Case closed 2021-05-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); different first name (terry); court in NC (not a filing state)
David Pendell and Bethany Pendell closed
United States Bankruptcy Court, W.D. Michigan · No. 15-03625 · Filed Jun 22, 2015 · Closed Nov 17, 2015
Role of David Pendell and Bethany Pendell: Debtor · Outcome: Case closed 2015-11-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); first name matches; court in the person's filing state (MI); middle initial differs
Susan K. Pendell-Rogers closed
United States Bankruptcy Court, W.D. Wisconsin · No. 3-10-15852 · Filed Jul 31, 2010 · Closed Nov 3, 2015
Role of Susan K. Pendell-Rogers: Debtor · Outcome: Case closed 2015-11-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); different first name (susan); court in WI (not a filing state)
Georgia Lottery Corporation v. Pendell closed
United States Bankruptcy Court, N.D. Georgia · No. 09-02077 · Filed Jul 8, 2009 · Closed Nov 4, 2009
Role of Pendell: Defendant · Outcome: Case closed 2009-11-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in GA (not a filing state)
Quebecor World Pendell Inc. closed
United States Bankruptcy Court, S.D. New York · No. 08-10179 · Filed Jan 21, 2008 · Closed Apr 2, 2015
Role of Quebecor World Pendell Inc.: Debtor · Outcome: Case closed 2015-04-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); different first name (world); court in NY (not a filing state)
Carlos Hernandez Garza and Rebecca Pendell Garza closed
United States Bankruptcy Court, W.D. Texas · No. 05-54437 · Filed Aug 3, 2005 · Closed Feb 18, 2010
Role of Carlos Hernandez Garza and Rebecca Pendell Garza: Debtor · Outcome: Case closed 2010-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); different first name (rebecca); court in TX (not a filing state)
Mark Webb Green and Terry Pendell Green closed
United States Bankruptcy Court, D. South Carolina · No. 00-01008 · Filed Feb 4, 2000 · Closed Jun 2, 2000
Role of Mark Webb Green and Terry Pendell Green: Debtor · Outcome: Case closed 2000-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); different first name (terry); court in SC (not a filing state)
David J. Pendell, Jr. closed
United States Bankruptcy Court, N.D. New York · No. 95-63434 · Filed Sep 26, 1995 · Closed Feb 16, 1996
Role of David J. Pendell, Jr.: Debtor · Outcome: Case closed 1996-02-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); first name matches; court in NY (not a filing state); middle initial differs
White v. Pendell Printing, Inc. closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 92-01393 · Filed Sep 29, 1992 · Closed Dec 17, 1992
Role of Pendell Printing, Inc.: Defendant · Outcome: Case closed 1992-12-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in PA (not a filing state)
Whitaker v. Pendell Printing Incorporated closed
United States Bankruptcy Court, M.D. Florida · No. 3:92-ap-08074 · Filed Jun 19, 1992 · Closed Aug 27, 1999
Role of Pendell Printing Incorporated: Defendant · Outcome: Case closed 1999-08-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 19 federal dockets); surname only in the caption; court in FL (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:19 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

11 differences found between the filings for David G. Pendell — 4 worth asking about (compared 9 filings on Oct 24, 2026)

Worth asking · Jun 30, 2011

69% of the money raised went to insiders — ASC SHS LLC

The Jun 30, 2011 Form D reports $35,000 sold and $24,000 of the proceeds used for payments to officers, directors or promoters. Issuer's note: "The management company will receive .04% of the amount raised for new investors and .02% of the amount raised for prior investors. This figure is an estimate based upon $1,000,000 raised.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Jun 30, 2011 ↗ASC SHS LLC — PartnerFacts page ↗
Sources
Worth asking · Mar 19, 2010

35% of the money raised went to insiders — ASC XGS LLC

The Mar 19, 2010 Form D reports $115,000 sold and $40,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Based on total sales of $1,000,000. The management company will receive .04% of the amount raised.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Mar 19, 2010 ↗ASC XGS LLC — PartnerFacts page ↗
Sources
Note · Oct 15, 2010

10% of the money raised went to insiders — ASC SHS LLC

The Oct 15, 2010 Form D reports $497,500 sold and $50,000 of the proceeds used for payments to officers, directors or promoters. Issuer's note: "The management company will receive .04% of the amount raised. Above figure is based on $1,000,000.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Oct 15, 2010 ↗ASC SHS LLC — PartnerFacts page ↗
Sources
Note · Jul 17, 2009

David G. Pendell is both a listed executive officer, director, promoter and a paid seller — AdvancedStage Capital, LLC

The Jul 17, 2009 Form D lists David Pendell as executive officer, director, promoter of the issuer and also as a person receiving sales compensation (no CRD number given).

What this means The same person is listed as running the company and as being paid to sell its securities. Ask how much and on what terms.

Form D · Jul 17, 2009 ↗David G. Pendell — PartnerFacts page ↗AdvancedStage Capital, LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 17, 2009 – Aug 1, 2011

David G. Pendell appears on 6 deals that stopped filing before reaching their target

ASC FISKER LLC (last filing Aug 1, 2011; $1,272,300 sold of $7,000,000); ASC SHS LLC (last filing Jun 30, 2011; $497,500 sold of $1,050,000); ASC BRIGHTSOURCE LLC (last filing Jan 27, 2011; $0 sold of $7,500,000); ASC XGS LLC (last filing Mar 19, 2010; $115,000 sold of $5,000,000); ASC Fisker, LLC (last filing Sep 11, 2009; $0 sold of $10,000,000); AdvancedStage Capital, LLC (last filing Jul 17, 2009; $0 sold of $10,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

ASC FISKER LLC — PartnerFacts page ↗ASC SHS LLC — PartnerFacts page ↗ASC BRIGHTSOURCE LLC — PartnerFacts page ↗ASC XGS LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 17, 2009

Paid seller listed without a CRD number: David Pendell — AdvancedStage Capital, LLC

David Pendell is listed as receiving sales compensation on 1 filing (Jul 17, 2009) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Jul 17, 2009 ↗BrokerCheck search: David Pendell ↗AdvancedStage Capital, LLC — PartnerFacts page ↗
Sources
Note · Mar 1, 2010 – Aug 1, 2011

4 Form Ds were filed more than 15 days after the first sale

Form D filed 18 days after the first sale — ASC FISKER LLC · Form D filed 21 days after the first sale — ASC SHS LLC · Form D filed 28 days after the first sale — ASC FISKER LLC · Form D filed 18 days after the first sale — ASC XGS LLC

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Aug 1, 2011 ↗ASC FISKER LLC — PartnerFacts page ↗Form D · Jun 30, 2011 ↗ASC SHS LLC — PartnerFacts page ↗
Sources
Note · Mar 1, 2010 – Aug 1, 2011

6 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — ASC FISKER LLC (latest filing Aug 1, 2011) · No amendment in the last 12 months on an offering that may still be open — ASC SHS LLC (latest filing Jun 30, 2011) · No amendment in the last 12 months on an offering that may still be open — ASC FISKER LLC (latest filing May 3, 2011) · No amendment in the last 12 months on an offering that may still be open — ASC FISKER LLC (latest filing Dec 8, 2010) · No amendment in the last 12 months on an offering that may still be open — ASC SHS LLC (latest filing Oct 15, 2010) · and 1 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Aug 1, 2011 ↗ASC FISKER LLC — PartnerFacts page ↗Form D · Jun 30, 2011 ↗ASC SHS LLC — PartnerFacts page ↗
Sources
Note · May 3, 2011 – Aug 1, 2011

David G. Pendell's role changed at ASC FISKER LLC: director → director, promoter

The May 3, 2011 filing lists David G. Pendell as director; the Aug 1, 2011 Form D lists director, promoter.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · May 3, 2011 ↗Form D · Aug 1, 2011 ↗David G. Pendell — PartnerFacts page ↗ASC FISKER LLC — PartnerFacts page ↗
Sources
Note · Oct 15, 2010 – Jun 30, 2011

David G. Pendell's role changed at ASC SHS LLC: director → director, promoter

The Oct 15, 2010 filing lists David G. Pendell as director; the Jun 30, 2011 Form D lists director, promoter.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Oct 15, 2010 ↗Form D · Jun 30, 2011 ↗David G. Pendell — PartnerFacts page ↗ASC SHS LLC — PartnerFacts page ↗
Sources
Note · Jul 17, 2009 – Mar 19, 2010

David G. Pendell is written 2 different ways on the filings

listed as "David Pendell" on 2 filings (from Jul 17, 2009), and "David G. Pendell" on 7 filings (from Mar 19, 2010).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Jul 17, 2009 ↗Form D · Mar 19, 2010 ↗David G. Pendell — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

0 of 9 offerings report sales commissions; 0 report finder's fees; 8 report proceeds to related persons totalling $1,689,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 1, 2011 D
ASC FISKER LLC
File 021-163730
$0$0$20,000 (est.)
The management company will receive a front end fee of .04% of the amount raised for new investors and .02% of the amount raised for existing investors. Above amount is based upon the average percentage to date.
None listed on this filingEDGAR ↗
Jun 30, 2011 D
ASC SHS LLC
File 021-162071
$0$0$24,000
The management company will receive .04% of the amount raised for new investors and .02% of the amount raised for prior investors. This figure is an estimate based upon $1,000,000 raised.
None listed on this filingEDGAR ↗
May 3, 2011 D
ASC FISKER LLC
File 021-159223
$0$0$40,000 (est.)
The management company will receive a front end fee of .04% of the amount raised. Above figure is based on $1,000,000.
None listed on this filingEDGAR ↗
Jan 27, 2011 D
ASC BRIGHTSOURCE LLC
File 021-154452
$0$0$0None listed on this filingEDGAR ↗
Dec 8, 2010 D
ASC FISKER LLC
File 021-151539
$0$0$40,000 (est.)
The management company will receive a front end fee of .04% of the amount raised. Above figure is based on $1,000,000.
None listed on this filingEDGAR ↗
Oct 15, 2010 D
ASC SHS LLC
File 021-149131
$0$0$50,000
The management company will receive .04% of the amount raised. Above figure is based on $1,000,000.
None listed on this filingEDGAR ↗
Mar 19, 2010 D
ASC XGS LLC
File 021-139788
$0$0$40,000 (est.)
Based on total sales of $1,000,000. The management company will receive .04% of the amount raised.
None listed on this filingEDGAR ↗
Sep 11, 2009 D
ASC Fisker, LLC
File 021-134370
$0$0$400,000 (est.)
"The Manager will be paid a ""Front End Fee"" equal to 4% of the Class A Members' capital contributions."
None listed on this filingEDGAR ↗
Jul 17, 2009 D
AdvancedStage Capital, LLC
File 021-132887
$0$0$1,075,000
The Investment Manager Member will receive a transaction fee up to 5.75% of the purchase price of all memberships purchased and a closing fee of 5% when the investor group has been returned 100% of their initial investment capital.
David Pendell no CRD number reportedEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 6

Every issuer that named David G. Pendell on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

AF
Pooled Investment Fund · group: Asc Fisker

ASC FISKER LLC

Petoskey, MI · Dec 8, 2010 → Aug 1, 2011 · 3 filings
  • Aug 1, 2011 · D · $1,272,300 sold of $7,000,000 · 33 investors · min. $25,000 · role: Director, Promoter (Manager) EDGAR ↗
  • May 3, 2011 · D · $670,738 sold of $7,000,000 · 16 investors · min. No minimum reported · role: Director (Manager) EDGAR ↗
  • Dec 8, 2010 · D · $968,555 sold of $7,000,000 · 38 investors · min. $25,000 · role: Director (Manager) EDGAR ↗

Raised $1.27M from 38 investors (18% of the $7M target) as of the latest filing. David is listed as director, promoter on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

AS
Pooled Investment Fund · group: Asc Fisker

ASC SHS LLC

Petoskey, MI · Oct 15, 2010 → Jun 30, 2011 · 2 filings
  • Jun 30, 2011 · D · $35,000 sold of $1,050,000 · 3 investors · min. $25,000 · role: Director, Promoter (Manager) EDGAR ↗
  • Oct 15, 2010 · D · $497,500 sold of $1,050,000 · 10 investors · min. $25,000 · role: Director (Manager) EDGAR ↗

Raised $498K from 10 investors (47% of the $1.05M target) as of the latest filing. David is listed as director, promoter on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

AB
Pooled Investment Fund · group: Asc Fisker

ASC BRIGHTSOURCE LLC

Petoskey, MI · Jan 27, 2011
  • Jan 27, 2011 · D · $0 sold of $7,500,000 · 0 investors · min. $25,000 · role: Director, Promoter (Manager) EDGAR ↗

No sales reported yet as of the latest filing. David is listed as director, promoter.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

AX
Pooled Investment Fund · group: Asc Fisker

ASC XGS LLC

Petoskey, MI · Mar 19, 2010
  • Mar 19, 2010 · D · $115,000 sold of $5,000,000 · 5 investors · min. $25,000 · role: Director (Manager) EDGAR ↗

Raised $115K from 5 investors (2% of the $5M target) as of the latest filing. David is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

AF
Pooled Investment Fund · group: Asc Fisker

ASC Fisker, LLC

Petoskey, MI · Sep 11, 2009
  • Sep 11, 2009 · D · $0 sold of $10,000,000 · 0 investors · min. $50,000 · role: Executive Officer (Member of the Manager of the Issuer) EDGAR ↗

No sales reported yet as of the latest filing. David is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

AC
Pooled Investment Fund · group: Asc Fisker

AdvancedStage Capital, LLC

Petoskey, MI · Jul 17, 2009
  • Jul 17, 2009 · D · $0 sold of $10,000,000 · 0 investors · min. $25,000 · role: Executive Officer, Director, Promoter (Managing Member) EDGAR ↗

No sales reported yet as of the latest filing. David is listed as executive officer, director, promoter.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

People around David 2

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

AC
Management entity

AdvancedStage Capital, LLC

Director, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as David G. Pendell. Their page shows their other deals.

DW
No photo found yet (own website and image search run after this page is viewed)
Person

Daniel C. Weyls

Executive Officer, Director · 4 shared filings (4 issuers)

Listed on the same filings as David G. Pendell. Their page shows their other deals.

The team behind the deals

AF
Sponsor group

Asc Fisker

6 issuers · 9 filings · $1.42M reported sold · 2009–2011

One team, 6 deal companies. David G. Pendell is listed on 6 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name David G. Pendell.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 6 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to David G. Pendell by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 6 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David G. Pendell is listed on: none on file. No website or social profile named in ASC FISKER LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #349,354 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Michigan state courts — find the court ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Michigan Secretary of State business search ↗OpenCorporates ↗

Change history

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