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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

BERKSHIRE CAPITAL HOLDINGS INC

CRD 107175

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:d35c78bb-aaa0-8c78-def6-6f54b822cc09

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 7
On other graphs: 0
Observed: Mar 26, 2012 to Mar 9, 2026
17 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $283MItem 5.F on the latest filing (2026-03-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $283M
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: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-53149
CRD: 107175
Filings on the tape: 17
First filed: Mar 26, 2012
Latest filed: Mar 9, 2026
Organised: Corporation, CA
Website: berkshirefunds.com

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
BUCK, LESLEY, ANNE	CHIEF COMPLIANCE OFFICER	Na	yes	12/2023	Jan 2, 2024	Mar 27, 2024
FOBES, LAVON, HOPPER	CORPORATE SECRETARY	E	yes	10/2007	Mar 26, 2012	Mar 27, 2024
FOBES, MALCOLM, RANDALL	CHAIRMAN/CEO	E	yes	02/1993	Mar 26, 2012	Mar 27, 2024

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 9, 2026	$283M	$283M	2	1	0	n/a	n/a
2024	Mar 19, 2025	$221M	$221M	2	1	0	n/a	n/a
2023	Mar 27, 2024	$255M	$255M	2	1	0	n/a	n/a
2022	Mar 27, 2023	$189M	$189M	2	1	0	n/a	n/a
2021	Mar 17, 2022	$747M	$747M	2	1	0	n/a	n/a
2020	Mar 28, 2021	$866M	$866M	2	1	0	n/a	n/a
2019	Mar 28, 2020	$341M	$341M	2	1	0	n/a	n/a
2018	Mar 27, 2019	$231M	$231M	2	1	0	n/a	n/a
2017	Mar 29, 2018	$112M	$112M	2	1	0	n/a	n/a
2016	Mar 21, 2017	$57.1M	$57.1M	2	1	n/a	n/a	n/a
2015	Mar 21, 2016	$61.2M	$61.2M	2	1	n/a	n/a	n/a
2014	Mar 23, 2015	$63.1M	$63.1M	2	1	n/a	n/a	n/a
2013	Mar 26, 2014	$87.5M	$87.5M	2	1	n/a	n/a	n/a
2012	Mar 28, 2013	$50.1M	$50.1M	2	1	n/a	n/a	n/a
2011	Mar 26, 2012	$40.6M	$40.6M	n/a	n/a	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	$283M	$221M	28.0%	$189M	14.5%	2	2	0	0

Relationships

Controls (3)

← FOBES, MALCOLM, RANDALLOwnerCHAIRMAN/CEO, ownership code E, individual
Mar 26, 2012 to Mar 27, 2024factForm ADV
← BUCK, LESLEY, ANNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 2, 2024 to Mar 27, 2024factForm ADV
← FOBES, LAVON, HOPPEROwnerCORPORATE SECRETARY, ownership code E, individual
Mar 26, 2012 to Mar 27, 2024factForm ADV

Dated events

Occurred
Jan 2, 2024
Control person joined
Anne Lesley Buck (Chief Compliance Officer) appeared on Schedule A of Berkshire Capital Holdings Inc
Form ADVobserved 5 days ago
Occurred
Jan 2, 2024
Control person left
Sothara Chin (Chief Compliance Officer) no longer on Schedule A of Berkshire Capital Holdings Inc (listed 2023-03-27, absent 2024-01-02)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2023
Regulatory AUM changed
Berkshire Capital Holdings Inc reported RAUM $188.6M, down 75% from $747.4M (2022-03-17 to 2023-03-27)
Form ADVobserved 5 days ago
$-559M
Occurred
Nov 15, 2021
Control person joined
Sothara Chin (Chief Compliance Officer) appeared on Schedule A of Berkshire Capital Holdings Inc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2021
Regulatory AUM changed
Berkshire Capital Holdings Inc reported RAUM $866.0M, up 154% from $341.0M (2020-03-28 to 2021-03-28)
Form ADVobserved 5 days ago
$525M
Occurred
Mar 28, 2020
Regulatory AUM changed
Berkshire Capital Holdings Inc reported RAUM $341.0M, up 48% from $230.9M (2019-03-27 to 2020-03-28)
Form ADVobserved 5 days ago
$110M
Occurred
Mar 27, 2019
Regulatory AUM changed
Berkshire Capital Holdings Inc reported RAUM $230.9M, up 105% from $112.3M (2018-03-29 to 2019-03-27)
Form ADVobserved 5 days ago
$119M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d35c78bb-aaa0-8c78-def6-6f54b822cc09
First observed: Mar 26, 2012
Last observed: Mar 9, 2026 6 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.

BERKSHIRE CAPITAL HOLDINGS INC

CRD 107175

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:d35c78bb-aaa0-8c78-def6-6f54b822cc09

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUCK, LESLEY, ANNE

CHIEF COMPLIANCE OFFICER

yes

12/2023

Jan 2, 2024

Mar 27, 2024

FOBES, LAVON, HOPPER

CORPORATE SECRETARY

yes

10/2007

Mar 26, 2012

Mar 27, 2024

FOBES, MALCOLM, RANDALL

CHAIRMAN/CEO

yes

02/1993

Mar 26, 2012

Mar 27, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 9, 2026

$283M

n/a

2024

Mar 19, 2025

$221M

n/a

2023

Mar 27, 2024

$255M

n/a

2022

Mar 27, 2023

$189M

n/a

2021

Mar 17, 2022

$747M

n/a

2020

Mar 28, 2021

$866M

n/a

2019

Mar 28, 2020

$341M

n/a

2018

Mar 27, 2019

$231M

n/a

2017

Mar 29, 2018

$112M

n/a

2016

Mar 21, 2017

$57.1M

n/a

2015

Mar 21, 2016

$61.2M

n/a

2014

Mar 23, 2015

$63.1M

n/a

2013

Mar 26, 2014

$87.5M

n/a

2012

Mar 28, 2013

$50.1M

n/a

2011

Mar 26, 2012

$40.6M

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

$283M

$221M

28.0%

$189M

14.5%