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KM

Kevin P. Mclaverty

PENSERRA CAPITAL MANAGEMENT LLC
Orinda, CA 94563
Some features on this profile are disabled
CRD#: 4479224
KM

Professional summary

Kevin Patrick Mclaverty, who also goes by Kevin Mclaverty, is a registered financial advisor currently at PENSERRA CAPITAL MANAGEMENT LLC located in Orinda, California and PENSERRA GLOBAL INVESTORS LLC located in Orinda, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 57TO, SIE, Series 87, Series 86, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kevin Mclaverty

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.
TrexAir Aviation Academy | Not Investment Related | 161 John Glenn Drive Concord CA 94520 | Pilot Training Program | CFO | 10/042024 | 21-40 hours per month | No work is conducted during trading hours | Duties include controlling the financial aspects of the company

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Mclaverty'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 5, 2018 - Present

PENSERRA CAPITAL MANAGEMENT LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563
RIA
CRD#: 159042
Orinda, CA
Current

April 20, 2022 - Present

PENSERRA GLOBAL INVESTORS LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563
RIA
CRD#: 174309
Orinda, CA
Current

March 6, 2013 - Present

PENSERRA SECURITIES, LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563
BD
CRD#: 145994
Orinda, CA
Past

May 3, 2017 - February 23, 2023

EAST WEST ADVISERS

RIA
CRD#: 285447
LAFAYETTE, CA
Past

March 30, 2017 - December 31, 2017

PENSERRA CAPITAL MANAGEMENT LLC

RIA
CRD#: 159042
ORINDA, CA
Past

February 2, 2017 - May 18, 2017

CHEEVERS & COMPANY, LLC

BD
CRD#: 31312
CHICAGO, IL
Past

December 6, 2006 - March 4, 2013

SESLIA SECURITIES

BD
CRD#: 30624
PHILADELPHIA, PA
Past

January 5, 2006 - July 13, 2006

SESLIA SECURITIES

BD
CRD#: 30624
PHILADELPHIA, PA
Past

December 19, 2001 - December 2, 2005

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA

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".
PC
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)

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.
RR
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

RR
California
(3/6/2013)
IAR
California
(1/5/2018)
RR
Illinois
(3/6/2013)
RR
New Mexico
(3/6/2013)
RR
New York
(3/6/2013)
IAR
New York
(4/21/2022)
RR
Ohio
(3/7/2013)
RR
Texas
(3/6/2013)
RR
Wisconsin
(3/6/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/29/2017
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/26/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/27/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 11/24/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/13/2013
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 55
Date: 1/25/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/18/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PC
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
16

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

PENSERRA CAPITAL 20250721 (7/21/2025)

Regulatory assets under management

Total Number of Accounts44
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.

Company Information

PENSERRA CAPITAL MANAGEMENT LLC

CRD#: 159042Orinda, CA 94563

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