{ "crd_number": 171274, "slug": "berenberg-asset-management-llc-new-york-ny-171274", "primary_business_name": "BERENBERG ASSET MANAGEMENT LLC", "legal_name": "BERENBERG ASSET MANAGEMENT LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2014-07-15", "years_registered": 12, "period": "2026-10-01", "filing_date": "2026-07-17", "carried_forward": false, "raum_total": 34849436.0, "raum_discretionary": 34849436.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 30, "advisory_employees": 17, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "corporations_other_businesses": { "raum": 34849436.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "pension_consulting", "portfolio_management_businesses_institutional" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171274", "disclosure_items": [ { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/berenberg-asset-management-llc-new-york-ny-171274", "display_name": "Berenberg Asset Management LLC", "summary": "Berenberg Asset Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2014, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated July 17, 2026.", "citation": "AdvisorCensus. Berenberg Asset Management LLC (CRD 171274): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services" ], "quick_answers": [ { "q": "How is Berenberg Asset Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Berenberg Asset Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Berenberg Asset Management LLC located?", "a": "Berenberg Asset Management LLC's principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 3 other offices (Schedule D, Section 1.F)." }, { "q": "Is Berenberg Asset Management LLC registered with the SEC or a state?", "a": "Berenberg Asset Management LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 171274." }, { "q": "How much does Berenberg Asset Management LLC manage?", "a": "Berenberg Asset Management LLC reports $34,849,436 in regulatory assets under management in its Form ADV filing dated July 17, 2026 (100% discretionary)." }, { "q": "How have Berenberg Asset Management LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Berenberg Asset Management LLC: Regulatory assets under management: $98,000,000 in the October 2021 data and $34,849,436 in the October 2026 data, down 64%. Total employees: 50 in October 2021 and 30 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Which custodians does Berenberg Asset Management LLC use?", "a": "Berenberg Asset Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Principal Custody Solutions as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Berenberg Asset Management LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/171274" }, { "q": "What changed in Berenberg Asset Management LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.D(5)). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 98000000.0, "total_employees": 50, "filing_date": "2021-03-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 90646604.0, "total_employees": 45, "filing_date": "2022-07-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 78398307.0, "total_employees": 31, "filing_date": "2023-09-19" }, { "period": "2024-10-01", "regulatory_assets_under_management": 31514591.0, "total_employees": 31, "filing_date": "2024-04-11" }, { "period": "2025-10-01", "regulatory_assets_under_management": 32876761.0, "total_employees": 27, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 34849436.0, "total_employees": 30, "filing_date": "2026-07-17" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.D(5)).", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 8 to 17.", "Changed its office addresses in Hamburg.", "Added an office in Zurich.", "No longer lists an office in London." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Principal Custody Solutions", "name_as_filed": "PRINCIPAL CUSTODY SOLUTIONS", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/berenberg-asset-management-llc-new-york-ny-171274.md", "clients": [ { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 34849436.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171274", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }