Dustin A. Lewellyn

PENSERRA CAPITAL MANAGEMENT LLC

Orinda, CA 94563

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CRD#: 4211012

Professional summary

Dustin Allen Lewellyn is a registered financial advisor currently at PENSERRA CAPITAL MANAGEMENT LLC located in Orinda, California and PENSERRA SECURITIES, LLC located in Orinda, California.

Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Dustin has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.

11/01/2021 : Lewellyn Rentals LLC 2809 Sylvania Drive West, Des Moines IA 50266 | Non-Investment Related | Owns, rents, and manages residential real estate. 1-5 hours devoted, 11/01/2021 PENSERRA CAPITAL MANAGEMENT 4 ORINDA WAY - SUITE 100A, ORINDA, CA 94563 ASSET MANAGER MANAGING DIRECTOR SINCE APRIL 2012 DEVOTING 160 HOURS A MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Allen Lewellyn's 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

January 4, 2018 - Present

PENSERRA CAPITAL MANAGEMENT LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 159042

Orinda, CA

Current

May 7, 2012 - Present

PENSERRA SECURITIES, LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

CRD#: 145994

Orinda, CA

Past

June 18, 2019 - April 19, 2022

PENSERRA GLOBAL INVESTORS LLC

RIA

CRD#: 174309

ORINDA, CA

Past

April 28, 2015 - December 31, 2017

PENSERRA CAPITAL MANAGEMENT LLC

RIA

CRD#: 159042

ORINDA, CA

Past

April 5, 2010 - July 11, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

April 1, 2010 - July 11, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

Past

May 8, 2008 - June 2, 2009

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

CHICAGO, IL

Past

May 8, 2008 - June 2, 2009

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

June 9, 2004 - June 20, 2007

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329

TACOMA, WA

Past

October 16, 2000 - November 10, 2003

BLACKROCK EXECUTION SERVICES

CRD#: 39438

NEW YORK, NY

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".

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/7/2012)

IAR

California
(1/4/2018)

New York
(5/7/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/5/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/14/2010

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENSERRA CAPITAL 20250721 (7/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 11,500,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Firm Stability Insights

Dustin A. Lewellyn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Allen Lewellyn's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA SECURITIES, LLC

PENSERRA GLOBAL INVESTORS LLC

PENSERRA CAPITAL MANAGEMENT LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

BLACKROCK EXECUTION SERVICES

Primary Firm SEC Registration

PENSERRA CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2004

Series 63

Date: 10/14/2000

SIE

Date: 10/1/2018

Series 7

Date: 10/13/2000

Series 24

Date: 8/14/2010

FINRA

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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