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Sean O'toole

PENSERRA WEALTH MANAGEMENT
ORINDA, CA 94563
Some features on this profile are disabled
CRD#: 6989605
SO

Professional summary

Sean O'toole, who also goes by Sean Gregory Otoole, is a registered financial advisor currently at PENSERRA WEALTH MANAGEMENT located in Orinda, California and PENSERRA GLOBAL INVESTORS LLC located in Orinda, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Sean has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sean Gregory Otoole

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 Sean O'toole'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

May 11, 2026 - Present

PENSERRA WEALTH MANAGEMENT

Office #1: 4 Orinda Way 100-a, Orinda, CA, 94563
RIA
CRD#: 333218
ORINDA, CA
Current

May 11, 2026 - Present

PENSERRA GLOBAL INVESTORS LLC

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

June 11, 2021 - September 28, 2024

MAVERICK LTC, LLC

RIA
CRD#: 314482
OAKLAND, CA
Past

October 8, 2018 - June 14, 2021

EDWARD JONES

RIA
CRD#: 250
WALNUT CREEK, CA
Past

September 13, 2018 - June 14, 2021

EDWARD JONES

BD
CRD#: 250
WALNUT CREEK, CA

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".
PG
PENSERRA GLOBAL INVESTORS LLC
PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA
Registered Investment Advisory firm - (9/17/2024 Approved)
California
Registered Investment Advisory firm - (1/16/2025 Terminated)
New York
Registered Investment Advisory firm - (12/17/2024 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.

Highlighted states indicate IAR registrations

IAR
California
(5/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/5/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2018
General Securities Representative Examination

Current Firm

PG
PENSERRA GLOBAL INVESTORS LLC
PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA
Registered Investment Advisory firm - (9/17/2024 Approved)
California
Registered Investment Advisory firm - (1/16/2025 Terminated)
New York
Registered Investment Advisory firm - (12/17/2024 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
12

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

ADV 2B (1/21/2026)
ADV 2A (1/21/2026)

Regulatory assets under management

Total Number of Accounts5
AUM (Assets Under Management)$ 96,180,324

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 GLOBAL INVESTORS LLC

CRD#: 174309Orinda, CA 94563

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