PENSERRA CAPITAL MANAGEMENT LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	New York, United States

Employees

Total Number of Employees	13
Investment Advisory/Research	8
Registered Broker-Dealer Representatives	12
Registered State Investment Advisers	8
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	39	$6.7B
Non-Discretionary	0	$0
Total	39	$6.7B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	39	$6.7B
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for investment companiesPortfolio management for pooled investment vehicles
Compensation	% of AUMFixed fees
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-80466
SEC ERA File Number	801-80466
SEC CIK Numbers	1593324
SEC CRD Numbers	159042
Legal Entity Identifier	549300I8X5UWMSXOJ371

Principal Office

4 ORINDA WAY
SUITE 100-A
ORINDA
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic