Pendleton King, J.r is listed as an executive officer and promoter on 1 SEC Form D filing by 1 issuer in Apr 2022: Innovating Capital IOSD, LP (Greenwich, CT — pooled investment fund — 2022; $3.25M reported sold to 15 investors).
What this means One deal on file with the SEC, filed Apr 2022. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Innovating Capital GP, 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 Pendleton. Each name links to their own page.
The issuer belongs to the sponsor group Innovating Venture (11 issuers, $12.1M reported sold, 2018–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Innovating Venture has 11 companies on file and $12.1M 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 (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 1 public filing for Pendleton King, J.r and found 2 differences, 1 worth asking the sponsor about: Form D filed 419 days after the first sale; 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.