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RIA / WealthRegistered adviserother adviserSEC registeredRAUM under $100M

BERENBERG ASSET MANAGEMENT LLC

CRD 171274

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:30c22a76-2bcd-c834-5f83-0764a193497d

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 20
On other graphs: 0
Observed: Jun 2, 2014 to Jul 17, 2026
36 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $34.8MItem 5.F on the latest filing (2026-07-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $34.8M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 30
Advisory employees: 17
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-79887
CRD: 171274
Filings on the tape: 36
First filed: Jun 2, 2014
Latest filed: Jul 17, 2026
Organised: Limited Liability Company, DE

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BERENBERG BETEILIGUNGSHOLDING GMBH	Member	E	yes	12/2010	Jun 2, 2014	Apr 11, 2024
BRANTLY, ZACHARY, DALTON	Director	Na	yes	12/2020	Feb 11, 2021	Apr 11, 2024
JOH. BERENBERG, GOSSLER & CO. KG	Shareholder	E	yes	12/2010	Jun 2, 2014	Apr 11, 2024
KUHN, AARON, CHRISTIAN	MANAGING PARTNER	F	yes	12/2020	Feb 11, 2021	Apr 11, 2024
MORTLOCK, DAVID, ANTHONY FRANCIS	MANAGING PARTNER	F	yes	12/2020	Nov 29, 2019	Apr 11, 2024
RIEHMER, HENDRIK	MANAGING PARTNER	F	yes	01/2009	Jun 2, 2014	Apr 11, 2024
SCHWARTAU, LARS	Director	Na	yes	10/2019	Nov 29, 2019	Apr 11, 2024
Willershausen, Jens	CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Oct 12, 2022	Apr 11, 2024
Shamalov, Gregory	CHIEF EXECUTIVE OFFICER	Na	no	02/2024	Mar 19, 2024	Apr 11, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BERENBERG CAPITAL MARKETS LLC	n/a	n/a	n/a	Y	yes	n/a
JOH. BERENBERG, GOSSLER & CO. KG	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Hamburg	n/a	Germany	10	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$34.8M	$34.8M	30	17	3	n/a	n/a
2024	Mar 28, 2025	$32.9M	$32.9M	27	8	3	n/a	n/a
2023	Mar 19, 2024	$31.5M	$31.5M	31	10	1	n/a	n/a
2022	Apr 3, 2023	$78.4M	$78.4M	31	10	1	n/a	n/a
2021	Mar 1, 2022	$90.6M	$90.6M	45	45	1	n/a	n/a
2020	Mar 29, 2021	$98.0M	$98.0M	50	50	1	n/a	n/a
2019	Feb 27, 2020	$207M	$207M	50	50	1	n/a	n/a
2018	Mar 28, 2019	$212M	$212M	50	50	1	n/a	n/a
2017	Mar 28, 2018	$213M	$213M	50	50	1	n/a	n/a
2016	Mar 6, 2017	$144M	$144M	50	30	n/a	n/a	n/a
2015	Mar 30, 2016	$47.5M	$0	25	8	n/a	n/a	n/a
2014	Mar 25, 2015	$25.6M	$0	25	8	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$34.8M	$32.9M	6.0%	$78.4M	-23.7%	30	27	3	3

Relationships

Controls (8)

← RIEHMER, HENDRIKOwnerMANAGING PARTNER, ownership code F, individual
Jun 2, 2014 to Apr 11, 2024factForm ADV
← MORTLOCK, DAVID, ANTHONY FRANCISOwnerMANAGING PARTNER, ownership code F, individual
Nov 29, 2019 to Apr 11, 2024factForm ADV
← KUHN, AARON, CHRISTIANOwnerMANAGING PARTNER, ownership code F, individual
Feb 11, 2021 to Apr 11, 2024factForm ADV
← BRANTLY, ZACHARY, DALTONOwnerDIRECTOR, ownership code NA, individual
Feb 11, 2021 to Apr 11, 2024factForm ADV
← SCHWARTAU, LARSOwnerDIRECTOR, ownership code NA, individual
Nov 29, 2019 to Apr 11, 2024factForm ADV
← Willershausen, JensOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 12, 2022 to Apr 11, 2024factForm ADV
← BERENBERG BETEILIGUNGSHOLDING GMBHOwnerMEMBER, ownership code E, foreign entity
Jun 2, 2014 to Apr 11, 2024factForm ADV
← JOH. BERENBERG, GOSSLER & CO. KGOwnerSHAREHOLDER, ownership code E, foreign entity
Jun 2, 2014 to Apr 11, 2024factForm ADV

Owns (1)

← Shamalov, GregoryOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 19, 2024 to Apr 11, 2024factForm ADV

Dated events

Occurred
Nov 28, 2022
Control person left
William Charles Peter Nichols (Director) no longer on Schedule A of Berenberg Asset Management Llc (listed 2022-10-12, absent 2022-11-28)
Form ADVobserved 5 days ago
Occurred
Nov 28, 2022
Control person left
Richard Brass (Director) no longer on Schedule A of Berenberg Asset Management Llc (listed 2022-10-12, absent 2022-11-28)
Form ADVobserved 5 days ago
Occurred
Oct 12, 2022
Control person left
Daniel Renndorfer (Chief Compliance Officer) no longer on Schedule A of Berenberg Asset Management Llc (listed 2022-07-28, absent 2022-10-12)
Form ADVobserved 5 days ago
Occurred
Oct 12, 2022
Control person joined
Jens Willershausen (Chief Compliance Officer) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Jul 28, 2022
Control person left
Duncan Robert Muir (Director) no longer on Schedule A of Berenberg Asset Management Llc (listed 2022-03-01, absent 2022-07-28)
Form ADVobserved 5 days ago
Occurred
Mar 1, 2022
Control person left
Gerard Donald Feeney (Director, Chief Executive Officer) no longer on Schedule A of Berenberg Asset Management Llc (listed 2021-03-29, absent 2022-03-01)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2021
Regulatory AUM changed
Berenberg Asset Management Llc reported RAUM $98.0M, down 90% from $1.0B (2021-02-11 to 2021-03-29)
Form ADVobserved 5 days ago
$-932M
Occurred
Feb 11, 2021
Control person joined
Duncan Robert Muir (Director) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Feb 11, 2021
Control person joined
Dalton Zachary Brantly (Director) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Feb 11, 2021
Control person joined
Christian Aaron Kuhn (Managing Partner) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Feb 11, 2021
Control person left
Hans-Walter Peters (General Partner) no longer on Schedule A of Berenberg Asset Management Llc (listed 2020-08-12, absent 2021-02-11)
Form ADVobserved 5 days ago
Occurred
Aug 12, 2020
Regulatory AUM changed
Berenberg Asset Management Llc reported RAUM $1.0B, up 397% from $207.4M (2020-02-27 to 2020-08-12)
Form ADVobserved 5 days ago
$823M
Occurred
Aug 12, 2020
Control person joined
Richard Brass (Director) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Nov 29, 2019
Control person left
Henning Gebhardt (Director) no longer on Schedule A of Berenberg Asset Management Llc (listed 2019-06-04, absent 2019-11-29)
Form ADVobserved 5 days ago
Occurred
Nov 29, 2019
Control person left
Martin Knocinski (Chief Operating Officer) no longer on Schedule A of Berenberg Asset Management Llc (listed 2019-06-04, absent 2019-11-29)
Form ADVobserved 5 days ago
Occurred
Nov 29, 2019
Control person joined
William Charles Peter Nichols (Director) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Nov 29, 2019
Control person joined
Lars Schwartau (Director) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Nov 29, 2019
Control person joined
Anthony Francis David Mortlock (Chairman Of The Board) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2019
Control person joined
Martin Knocinski (Chief Operating Officer) appeared on Schedule A of Berenberg Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Jun 2, 2014
First Form ADV filing
Berenberg Asset Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30c22a76-2bcd-c834-5f83-0764a193497d
First observed: Jun 2, 2014
Last observed: Jul 17, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BERENBERG ASSET MANAGEMENT LLC

CRD 171274

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:30c22a76-2bcd-c834-5f83-0764a193497d

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERENBERG BETEILIGUNGSHOLDING GMBH

Member

yes

12/2010

Jun 2, 2014

Apr 11, 2024

BRANTLY, ZACHARY, DALTON

Director

yes

12/2020

Feb 11, 2021

Apr 11, 2024

JOH. BERENBERG, GOSSLER & CO. KG

Shareholder

yes

12/2010

Jun 2, 2014

Apr 11, 2024

KUHN, AARON, CHRISTIAN

MANAGING PARTNER

yes

12/2020

Feb 11, 2021

Apr 11, 2024

MORTLOCK, DAVID, ANTHONY FRANCIS

MANAGING PARTNER

yes

12/2020

Nov 29, 2019

Apr 11, 2024

RIEHMER, HENDRIK

MANAGING PARTNER

yes

01/2009

Jun 2, 2014

Apr 11, 2024

SCHWARTAU, LARS

Director

yes

10/2019

Nov 29, 2019

Apr 11, 2024

Willershausen, Jens

CHIEF COMPLIANCE OFFICER

yes

09/2022

Oct 12, 2022

Apr 11, 2024

Shamalov, Gregory

CHIEF EXECUTIVE OFFICER

02/2024

Mar 19, 2024

Apr 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BERENBERG CAPITAL MARKETS LLC

n/a

yes

n/a

JOH. BERENBERG, GOSSLER & CO. KG

n/a

City

State

Country

Employees

Also broker-dealer

Hamburg

n/a

Germany

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$34.8M

n/a

2024

Mar 28, 2025

$32.9M

n/a

2023

Mar 19, 2024

$31.5M

n/a

2022

Apr 3, 2023

$78.4M

n/a

2021

Mar 1, 2022

$90.6M

n/a

2020

Mar 29, 2021

$98.0M

n/a

2019

Feb 27, 2020

$207M

n/a

2018

Mar 28, 2019

$212M

n/a

2017

Mar 28, 2018

$213M

n/a

2016

Mar 6, 2017

$144M

n/a

2015

Mar 30, 2016

$47.5M

n/a

2014

Mar 25, 2015

$25.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$34.8M

$32.9M

6.0%

$78.4M

-23.7%