Sumali Sanyal

XPONANCE

DURHAM, NC 27701

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CRD#: 2728398

Professional summary

Sumali Sanyal is a registered financial advisor currently at XPONANCE, INC. located in Durham, North Carolina.

Sumali is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Sumali has worked at 4 firms and has passed the Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sumali Sanyal's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 1, 2020 - Present

XPONANCE, INC.

Office #1: 2605 Meridian Parkway Suite 105, Durham, NC 27701

RIA

CRD#: 111126

DURHAM, NC

Past

September 6, 2002 - December 12, 2002

VOSS & CO., INC.

CRD#: 6405

SPRINGFIELD, VA

Past

January 20, 1998 - August 3, 2000

LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795

BOSTON, MA

Past

September 17, 1996 - April 9, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

XPONANCE, INC.

CRD#: 111126 / SEC#: 801-51407

RIA

Registered Investment Advisory firm - (3/4/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(12/1/2020)

IAR

Pennsylvania
(12/1/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 9/16/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 11/18/1996

Financial and Operations Principal Examination

Current Firm

XPONANCE, INC.

CRD#: 111126 / SEC#: 801-51407

RIA

Registered Investment Advisory firm - (3/4/1996 Approved)

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Contact information

Main Address

1845 Walnut Street Suite 800, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 567-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

XPONANCE ADV PART 2A 3.25.25 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 20,488,544,216

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Sumali Sanyal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sumali Sanyal's CRS (Customer Relationship Summary).

Certified licenses

Experience

XPONANCE, INC.

VOSS & CO., INC.

LOOMIS SAYLES DISTRIBUTORS, L.P.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

XPONANCE, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 9/16/1996

Series 27

Date: 11/18/1996

Current Firm

XPONANCE, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

XPONANCE, INC.

TRUST BUT VERIFY

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