Roy Pemberton is listed as an executive officer on 4 SEC Form D filings by 2 issuers between Jan 2010 and Jan 2011: Armored Wolf Alpha Fund, LLC (Aliso Viejo, CA — pooled investment fund — 2010–2011; $52M reported sold to 47 investors) and Armored Wolf Alpha (Offshore) Fund, Ltd. (Aliso Viejo, CA — pooled investment fund — 2010–2011; $51M reported sold to 13 investors).
What this means 2 separate companies raised money with this person listed as executive officer. Across those companies the filings report $103M sold in total.
Listed alongside Armored Wolf, LLC (4 shared filings, management entity), Erik Carlson (4 shared filings), John Brynjolfsson (4 shared filings), Mohan Phansalkar (4 shared filings), Ronald Solberg (4 shared filings) and 1 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Roy. Each name links to their own page.
All 2 issuers belong to the sponsor group Armored Wolf Alpha (2 issuers, $103M reported sold, 2009–2011).
What this means A sponsor group is one team that sets up a new company for each deal. Armored Wolf Alpha has 2 companies on file and $103M 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) — 1 court case matching the name, 1 bankruptcy case matching the name listed in Key records below.
What this means 2 records came back. 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 4 public filings for Roy Pemberton and found 5 differences, 3 worth asking the sponsor about: Paid seller listed without a CRD number: Chamberlain Group; Paid seller listed without a CRD number: Mia Sette; 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.