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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM under $100M

PENSERRA GLOBAL INVESTORS LLC

CRD 174309

ORINDA, CA

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:c1e73149-83f7-7ce8-b34c-d2ed615733f3

Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 4
On other graphs: 0
Observed: Aug 19, 2024 to Aug 28, 2026
9 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=8.0
Regulatory AUM: $2Item 5.F on the latest filing (2026-08-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2
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: 8
RAUM per advisor: $0derivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 10
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-131133
CIK: 1664626
CRD: 174309
Filings on the tape: 9
First filed: Aug 19, 2024
Latest filed: Aug 28, 2026
Organised: Limited Liability Company, NY
Website: penserra.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KATALIN OSVATH GINGOLD	Chartered Financial Analyst	ORINDA, CA	4	25	n/a	no
Daniel Yung Kim	Chartered Financial Analyst	Hunts Point, WA	0	14	3	no
Sean O'Toole	n/a	ORINDA, CA	0	12	2	no

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
CASTELLI, ANTHONY	CHIEF COMPLIANCE OFFICER	Na	yes	09/2014	Aug 19, 2024	Dec 16, 2024
MADRIGAL, GEORGE	PRESIDENT & CEO	C	yes	10/2015	Aug 19, 2024	Dec 16, 2024
MADRIGAL, GEORGE, NMN	PRESIDENT AND CEO	Na	yes	09/2014	Aug 19, 2024	Dec 16, 2024
PENSERRA FINANCIAL VENTURES LLC	Owner	E	yes	01/2016	Aug 19, 2024	Dec 16, 2024
GINGOLD, KATALIN, OSVATH	DIRECTOR OF RESEARCH	A	no	09/2021	Aug 19, 2024	Dec 16, 2024
RYBAKOV, EGOR, NICKOLAEVICH	Cio	B	no	09/2021	Aug 19, 2024	Dec 16, 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
PENSERRA CAPITAL MANAGEMENT LLC	n/a	Asset manager	$18B	N	yes	n/a
PENSERRA SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	2	no
NEW YORK	NY	United States	2	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; showing 2 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 8, 2026	$96.2M	$96.2M	12	10	2	n/a	n/a
2024	Mar 6, 2025	$1.0M	$1.0M	12	10	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	12.5%	0	0	0	2	1

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	$2	$1.0M	-100.0%	n/a	n/a	12	12	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PENSERRA CAPITAL MANAGEMENT LLC	3	Dec 31, 2017	Jan 4, 2018	ORINDA, CA	Firm absorbed	Other	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PENSERRA CAPITAL MANAGEMENT LLC	2	Dec 31, 2017	May 13, 2016	ORINDA, CA	Team lift out	Other	33.3%

Relationships

Affiliated with (2)

← PENSERRA WEALTH MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ PENSERRA CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (12)

← Sean O'TooleAdvisorregistration: current employment
May 11, 2026 to presentfactForm ADV
← Daniel Yung KimAdvisorregistration: current employment
Apr 8, 2026 to presentfactForm ADV
← Amy AlbaAdvisorregistration: current employment
Dec 14, 2022 to presentfactForm ADV
← LEE WILSON GEIGERAdvisorregistration: current employment
Sep 21, 2022 to presentfactForm ADV
← KEVIN PATRICK MCLAVERTYAdvisorregistration: current employment
Apr 20, 2022 to presentfactForm ADV
← KATALIN OSVATH GINGOLDAdvisorregistration: current employment
Nov 17, 2021 to presentfactForm ADV
← JORGE NMN MADRIGALAdvisorregistration: previous registration
May 13, 2016 to Dec 31, 2017factForm ADV
← ANTHONY NMN CASTELLIAdvisorregistration: previous registration
May 13, 2016 to Dec 31, 2017factForm ADV
← EGOR NICKOLAEVICH RYBAKOVAdvisorregistration: previous registration
Nov 4, 2021 to Dec 22, 2025factForm ADV
← DUSTIN ALLEN LEWELLYNAdvisorregistration: previous registration
Jun 18, 2019 to Apr 19, 2022factForm ADV
← ERNESTO DAVID TONGAdvisorregistration: previous registration
Jun 18, 2019 to Apr 19, 2022factForm ADV
← ZLATKO MARTINICAdvisorregistration: previous registration
Jan 19, 2018 to Aug 29, 2019factForm ADV

Owns (2)

← RYBAKOV, EGOR, NICKOLAEVICHOwnerCIO, ownership code B, individual
Aug 19, 2024 to Dec 16, 2024factForm ADV
← GINGOLD, KATALIN, OSVATHOwnerDIRECTOR OF RESEARCH, ownership code A, individual
Aug 19, 2024 to Dec 16, 2024factForm ADV

Controls (4)

← MADRIGAL, GEORGEOwnerPRESIDENT & CEO, ownership code C, individual
Aug 19, 2024 to Dec 16, 2024factForm ADV
← MADRIGAL, GEORGE, NMNOwnerPRESIDENT AND CEO, ownership code NA, individual
Aug 19, 2024 to Dec 16, 2024factForm ADV
← CASTELLI, ANTHONYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 19, 2024 to Dec 16, 2024factForm ADV
← PENSERRA FINANCIAL VENTURES LLCOwnerOWNER, ownership code E, domestic entity
Aug 19, 2024 to Dec 16, 2024factForm ADV

Moved with (2)

→ PENSERRA CAPITAL MANAGEMENT LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2017 to Jan 5, 2018factForm ADV
← PENSERRA CAPITAL MANAGEMENT LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2017 to Nov 3, 2016factForm ADV

Dated events

Occurred
Dec 22, 2025
Advisor changed firm
Egor Nickolaevich Rybakov left Penserra Global Investors Llc for Montrusco Bolton Investments Inc. (registered 2026-01-08)
Form ADVobserved 5 days ago
Occurred
Aug 19, 2024
First Form ADV filing
Penserra Global Investors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago
Occurred
Apr 19, 2022
Advisor departed, no destination yet
Ernesto David Tong no longer registered at Penserra Global Investors Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Apr 19, 2022
Advisor departed, no destination yet
Dustin Allen Lewellyn no longer registered at Penserra Global Investors Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1e73149-83f7-7ce8-b34c-d2ed615733f3
First observed: Aug 19, 2024
Last observed: Aug 28, 2026 23 days 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.

PENSERRA GLOBAL INVESTORS LLC

CRD 174309

ORINDA, CA

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:c1e73149-83f7-7ce8-b34c-d2ed615733f3

Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KATALIN OSVATH GINGOLD

Chartered Financial Analyst

ORINDA, CA

n/a

Daniel Yung Kim

Chartered Financial Analyst

Hunts Point, WA

Sean O'Toole

n/a

ORINDA, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CASTELLI, ANTHONY

CHIEF COMPLIANCE OFFICER

yes

09/2014

Aug 19, 2024

Dec 16, 2024

MADRIGAL, GEORGE

PRESIDENT & CEO

yes

10/2015

Aug 19, 2024

Dec 16, 2024

MADRIGAL, GEORGE, NMN

PRESIDENT AND CEO

yes

09/2014

Aug 19, 2024

Dec 16, 2024

PENSERRA FINANCIAL VENTURES LLC

Owner

yes

01/2016

Aug 19, 2024

Dec 16, 2024

GINGOLD, KATALIN, OSVATH

DIRECTOR OF RESEARCH

09/2021

Aug 19, 2024

Dec 16, 2024

RYBAKOV, EGOR, NICKOLAEVICH

Cio

09/2021

Aug 19, 2024

Dec 16, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PENSERRA CAPITAL MANAGEMENT LLC

n/a

Asset manager

$18B

yes

n/a

PENSERRA SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEWPORT BEACH

United States

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 8, 2026

$96.2M

n/a

2024

Mar 6, 2025

$1.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

12.5%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.0M

-100.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PENSERRA CAPITAL MANAGEMENT LLC

Dec 31, 2017

Jan 4, 2018

ORINDA, CA

Firm absorbed

Other

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PENSERRA CAPITAL MANAGEMENT LLC

Dec 31, 2017

May 13, 2016

ORINDA, CA

Team lift out

Other

33.3%