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BERENBERG ASSET MANAGEMENT LLC

NEW YORK, NY · CRD 171274 · IAPD ↗ · 646-949-9000

$34.8MRegulatory AUM
17Advisory reps
30Employees
1Clients
0Planning clients
0Private funds
0States
1Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
August 2026 — BERENBERG ASSET MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
64
April 2026 — BERENBERG ASSET MANAGEMENT LLC grew from 8 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
April 2025 — BERENBERG ASSET MANAGEMENT LLC shrank from 10 to 8 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
April 2025 — BERENBERG ASSET MANAGEMENT LLC added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
35
April 2024 — BERENBERG ASSET MANAGEMENT LLC reported RAUM down 60% ($78.4M -> $31.5M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.