DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Penserra Global Investors LLC
Latest filing Aug 28, 2026
First filing on the tape Aug 19, 2024 · 9 filings
SEC status approved since Sep 17, 2024
RAUM
$2
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$0
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2 as of Aug 28, 2026
Mar 6, 2025$1.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Aug 28, 2026
Mar 6, 202510 then
Employees (5.A)12 as of Aug 28, 2026
Mar 6, 202512 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9184%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Katalin Osvath GingoldChartered Financial Analyst | Orinda, Ca | Nov 17, 2021 | 25 y | 0 |
| Daniel Yung KimChartered Financial Analyst | Hunts Point, Wa | Apr 8, 2026 | 14 y | 3 |
| Sean O'Toole | Orinda, Ca | May 11, 2026 | 12 y | 2 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- Egor Nickolaevich Rybakov to Montrusco Bolton Investments Inc.Dec 22, 2025 · Other
- Zlatko Martinic to Gamma Investing LLCAug 29, 2019 · RIA to a newly registered adviser
- Anthony Nmn Castelli to Penserra Capital Management LLCDec 31, 2017 · Other
- Zlatko Martinic to Penserra Capital Management LLCDec 31, 2017 · Other
- Jorge Nmn Madrigal to Penserra Capital Management LLCDec 31, 2017 · Other
Joined, latest
- Sean O'Toole from Maverick Ltc, LLCMay 11, 2026 · Other
- Daniel Yung Kim from Saturna Capital CorporationApr 8, 2026 · Other
- Egor Nickolaevich Rybakov from Blue Zone Global InvestorsNov 4, 2021 · Other
- Zlatko Martinic from Penserra Capital Management LLCJan 19, 2018 · Other
- Zlatko Martinic from Penserra Capital Management LLCNov 3, 2016 · Other
- Anthony Nmn Castelli from Penserra Capital Management LLCMay 13, 2016 · Other
- Jorge Nmn Madrigal from Penserra Capital Management LLCMay 13, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Penserra Capital Management LLCDec 31, 2017 · Orinda, Ca · Firm absorbed
- 2 joined from Penserra Capital Management LLCDec 31, 2017 · Orinda, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anthony Castelli · Chief Compliance Officercontrolsince 09/2014 · owns less than 5%
- Nmn George Madrigal · President And Ceocontrolsince 09/2014 · owns less than 5%
- George Madrigal · President & Ceocontrolsince 10/2015 · owns 25% to 50% of Penserra Financial Ventures LLC
- Osvath Katalin Gingold · Director Of Researchsince 09/2021 · owns 5% to 10%
- Nickolaevich Egor Rybakov · Ciosince 09/2021 · owns 10% to 25%
Entity owners
- Penserra Financial Ventures LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Penserra Capital Management LLCinvestment advisernRAUM $18B
- Penserra Securities, LLCbroker-dealern
Advisers that list Penserra Global Investors LLC as a related person
- 333218 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orinda, Ca · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
- Newport Beach, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Apr 8, 2026institutional share of RAUM moved from 62.0% to 100.0% between the annual amendments of 2025-03-06 and 2026-04-08peers: institutional managers (486)
What changed
consecutive filings, newest first
- Accounts · 5 to 1May 1, 2026 to Aug 28, 2026
- Pension plan clients · 1 to 0May 1, 2026 to Aug 28, 2026
- Discretionary RAUM · $96.2M to $2May 1, 2026 to Aug 28, 2026
- Pension RAUM · $96.2M to $2May 1, 2026 to Aug 28, 2026
- RAUM · $96.2M to $2May 1, 2026 to Aug 28, 2026
- Accounts · 2 to 5Mar 6, 2025 to Jan 21, 2026
- Pension plan clients · unset to 1.0Mar 6, 2025 to Jan 21, 2026
- Discretionary RAUM · $1.0M to $96.2MMar 6, 2025 to Jan 21, 2026
- Pension RAUM · unset to 96180324.0Mar 6, 2025 to Jan 21, 2026
- RAUM · $1.0M to $96.2MMar 6, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 0Dec 16, 2024 to Mar 6, 2025
- Individual RAUM · 1036000.0 to unsetAug 19, 2024 to Sep 6, 2024
Signals
4 dated events
- Egor Nickolaevich Rybakov left Penserra Global Investors Llc for Montrusco Bolton Investments Inc. (registered 2026-01-08)Dec 22, 2025 · Advisor changed firm · fact
- Penserra Global Investors Llc filed its initial SEC registration (Form ADV)Aug 19, 2024 · First SEC registration · fact
- Ernesto David Tong no longer registered at Penserra Global Investors Llc; no later IA registration on IAPDApr 19, 2022 · Advisor departure · fact
- Dustin Allen Lewellyn no longer registered at Penserra Global Investors Llc; no later IA registration on IAPDApr 19, 2022 · Advisor departure · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- penserra.com/services/active-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-456-8850reportedpublic record, Form ADV, Aug 28, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $0derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026