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CRD 143588
OAKLAND, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MICHAEL LENT | n/a | OAKLAND, CA | 19 | 32 | 1 | no |
| LEAH MEGAN BEATTIE | n/a | OAKLAND, CA | PORTSMOUTH, NH | 18 | 21 | 2 | no |
| ALISON LYN PYOTT | Certified Financial Planner | PORTSMOUTH, NH | 16 | 21 | n/a | no |
| Richard Leeway Chen | n/a | New York, NY | 5 | 11 | n/a | no |
| TIMOTHY P. KINGSBURY | Certified Financial Planner | New York, NY | 5 | 13 | 1 | no |
| LORI KIM CHOI | Chartered Financial Analyst | New York, NY | 5 | 11 | n/a | no |
| ELENA VIKTOROVNA LADYGINA | Certified Financial Planner | New York, NY | 2 | 20 | 4 | no |
| JANE EDITH SWAN | Chartered Financial Analyst | OAKLAND, CA | 0 | 11 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| VERIS GLOBAL SUSTAINABILITY FUND, LLC | Other Private Fund | $124M | Mar 17, 2026 | 71 | Mar 30, 2012 | reported | 021-144809 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Chen, Richard, Leeway | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER | A | yes | 07/2020 | Mar 17, 2026 | Mar 17, 2026 |
| KUCER, SHERYL, SUE | CHIEF OPERATING OFFICER | Na | yes | 09/2022 | Mar 17, 2026 | Mar 17, 2026 |
| LENT, MICHAEL | CHIEF FINANCIAL OFFICER & CO-CHIEF INVESTMENT OFFICER | B | yes | 07/2007 | Mar 17, 2026 | Mar 17, 2026 |
| Pradhananga, Roraj | CO-CHIEF INVESTMENT OFFICER | Na | yes | 01/2024 | Mar 17, 2026 | Mar 17, 2026 |
| PYOTT, ALISON, LYN | CHIEF CLIENT SERVICES OFFICER | B | yes | 08/2020 | Mar 17, 2026 | Mar 17, 2026 |
| RUPP, STEPHANIE, COHN | CHIEF EXECUTIVE OFFICER | B | yes | 01/2021 | Mar 17, 2026 | Mar 17, 2026 |
| MARKEL CORPORATION | SOLE SHAREHOLDER | E | yes | 11/2005 | Mar 31, 2022 | Jul 9, 2024 |
| MARKEL VENTURES INC. | Member | E | yes | 06/2018 | Mar 31, 2022 | Jul 9, 2024 |
| CHOI, LORI, KIM | SENIOR WEALTH MANAGER | A | no | 01/2018 | Mar 17, 2026 | Mar 17, 2026 |
| DAVIS, NICOLE, MARIKO | SENIOR WEALTH MANAGER | B | no | 01/2018 | Mar 17, 2026 | Mar 17, 2026 |
| ROSEMONT INVESTMENT GROUP, LLC | Member | B | no | 01/2022 | Mar 31, 2022 | Jul 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| RICHARD L. CHEN | n/a | n/a | n/a | N | no | n/a |
| VERIS GLOBAL SUSTAINABILITY MANAGEMENT, LLC | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 4 | no |
| Portsmouth | Nh | United States | 2 | no |
| n/a | n/a | n/a | 1 | no |
| Philadelphia | Pa | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 17, 2026 | $2.9B | $2.7B | 31 | 12 | 4 | 1 | n/a |
| 2023 | Mar 29, 2024 | $2.0B | $1.9B | 29 | 14 | 3 | 1 | $115M |
| 2022 | Mar 31, 2023 | $1.8B | $1.6B | 25 | 10 | 3 | 1 | $89.3M |
| 2021 | Mar 31, 2022 | $2.1B | $2.0B | 24 | 10 | 2 | 1 | $128M |
| 2020 | Mar 29, 2021 | $1.7B | $1.5B | 22 | 10 | 2 | n/a | n/a |
| 2019 | Mar 27, 2020 | $1.5B | $1.3B | 22 | 10 | 2 | 1 | $88.2M |
| 2018 | Mar 27, 2019 | $1.1B | $991M | 17 | 9 | 2 | 1 | $56.3M |
| 2017 | Mar 28, 2018 | $1.1B | $919M | 20 | 10 | 2 | 1 | $73.7M |
| 2016 | Mar 27, 2017 | $958M | $821M | 21 | 10 | n/a | 1 | $42.6M |
| 2015 | Mar 24, 2016 | $802M | $670M | 20 | 10 | n/a | 1 | $35.3M |
| 2014 | Mar 25, 2015 | $693M | $524M | 20 | 10 | n/a | 1 | $35.3M |
| 2013 | Mar 29, 2014 | $666M | $470M | 17 | 8 | n/a | 1 | $28.7M |
| 2012 | Mar 28, 2013 | $525M | $334M | 15 | 9 | n/a | 1 | $19.9M |
| 2011 | Mar 30, 2012 | $486M | $315M | n/a | n/a | n/a | 1 | $17.5M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.9B | n/a | n/a | $1.8B | 16.8% | 31 | n/a | 4 | n/a |