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CRD 159042
ORINDA, 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 |
|---|---|---|---|---|---|---|
| JORGE NMN MADRIGAL | n/a | ORINDA, CA | 8 | 25 | 2 | yes |
| DUSTIN ALLEN LEWELLYN | Chartered Financial Analyst | ORINDA, CA | 8 | 25 | 4 | yes |
| ANTHONY NMN CASTELLI | n/a | ORINDA, CA | 8 | 22 | 2 | yes |
| KEVIN PATRICK MCLAVERTY | n/a | ORINDA, CA | 8 | 20 | 2 | yes |
| ERNESTO DAVID TONG | Chartered Financial Analyst | ORINDA, CA | 8 | 17 | 2 | yes |
| LEE WILSON GEIGER | n/a | ORINDA, CA | 4 | 39 | n/a | yes |
| Amy Alba | n/a | ORINDA, CA | 3 | 11 | n/a | yes |
| CHRISTINE MARIE JOHANSON | Chartered Financial Analyst | ORINDA, CA | 3 | 13 | n/a | yes |
| Katherine Sarah Drury | n/a | ORINDA, CA | 1 | 17 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CASTELLI, ANTHONY | CHIEF COMPLIANCE OFFICER AND RISK MANAGER | Na | yes | 08/2011 | Oct 7, 2014 | Jul 22, 2024 |
| LEWELLYN, DUSTIN, ALLEN | MANAGING DIRECTOR | C | yes | 09/2014 | Oct 7, 2014 | Jul 22, 2024 |
| MADRIGAL, GEORGE | President | C | yes | 12/2007 | Oct 7, 2014 | Jul 22, 2024 |
| MADRIGAL, GEORGE, NMN | PRESIDENT AND CEO | Na | yes | 08/2009 | Oct 7, 2014 | Jul 22, 2024 |
| DESAI, ANAND, ARUN | PORTFOLIO MANAGER | Na | no | 02/2018 | Mar 25, 2019 | Jul 22, 2024 |
| PENSERRA FINANCIAL VENTURES | HOLDING COMPANY | B | no | 11/2015 | Nov 18, 2015 | Jul 22, 2024 |
| TONG, ERNESTO, DAVID | MANAGING DIRECTOR | A | no | 03/2016 | Jul 21, 2016 | Jul 22, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PENSERRA GLOBAL INVESTORS LLC | n/a | n/a | n/a | N | yes | n/a |
| PENSERRA SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 3 | no |
| Chicago | IL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 10, 2026 | $18B | $18B | 16 | 7 | 2 | n/a | n/a |
| 2024 | Mar 27, 2025 | $12B | $12B | 16 | 7 | 2 | n/a | n/a |
| 2023 | Mar 15, 2024 | $6.7B | $6.7B | 13 | 8 | 2 | n/a | n/a |
| 2022 | Mar 15, 2023 | $5.8B | $5.8B | 12 | 7 | 2 | n/a | n/a |
| 2021 | Mar 31, 2022 | $5.9B | $5.9B | 10 | 5 | 2 | n/a | n/a |
| 2020 | Mar 5, 2021 | $5.3B | $5.3B | 10 | 5 | 2 | n/a | n/a |
| 2019 | Feb 5, 2020 | $1.7B | $1.7B | 11 | 6 | 2 | n/a | n/a |
| 2018 | Mar 25, 2019 | $1.2B | $1.2B | 17 | 9 | 2 | n/a | n/a |
| 2017 | Feb 15, 2018 | $1.0B | $1.0B | 16 | 9 | 2 | n/a | n/a |
| 2016 | Feb 24, 2017 | $990M | $990M | 10 | 8 | n/a | n/a | n/a |
| 2015 | Feb 10, 2016 | $1.2B | $1.2B | 10 | 5 | n/a | n/a | n/a |
| 2014 | Mar 4, 2015 | $102M | $102M | 7 | 7 | n/a | n/a | n/a |
| 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 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $18B | $12B | 52.2% | $5.8B | 44.4% | 16 | 16 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PENSERRA GLOBAL INVESTORS LLC | 2 | Dec 31, 2017 | May 13, 2016 | ORINDA, CA | Team lift out | Other | 33.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PENSERRA GLOBAL INVESTORS LLC | 3 | Dec 31, 2017 | Jan 4, 2018 | ORINDA, CA | Firm absorbed | Other | 100.0% |