Hedge Fund Database

CHI ADVISORS LLC

Adviser information for CHI ADVISORS LLC last updated from Form ADV on June 5th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

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

Employees

Total Number of Employees 34
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 6 $1.2B
Non-Discretionary 0 $0
Total 6 $1.2B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 6 $1.2B
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

Services

Advisory Services Portfolio management for pooled investment vehicles
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-117253
SEC ERA File Number 801-117253
SEC CIK Numbers 1791468
SEC CRD Numbers 304684, 135564
Legal Entity Identifier 549300VUPTX7X88D8E04

Principal Office

599 LEXINGTON AVE.
20TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM TO 6 PM
Tel: 6465621010, Fax: None

Websites

www.cowen.com www.linkedin.com/company/cowen-inc/mycompany/ twitter.com/cowen_inc instagram.com/coweninc?igshid=1kwoayykvnknm

Chief Compliance Officer

ASHLEY LATOURELLE
CHIEF COMPLIANCE OFFICER
599 LEXINGTON AVENUE
20TH FLOOR
NEW YORK
NY
United States
Tel: (609) 304-6161
(Full email address available in API data)

Regulatory Contact

MICHAEL BENWITT
CHIEF OPERATING OFFICER AND GENERAL COUNSEL
599 LEXINGTON AVENUE
20TH FLOOR
NEW YORK
NY
United States
Tel: (212) 823-0226
(Full email address available in API data)

Industry Affiliates

ATM EXECUTION LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisor
CHI ADVISORS LLC Sponsor, GP, manager of pooled investment vehicles
COWEN AND COMPANY Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COWEN AND COMPANY (ASIA) LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COWEN EXECUTION SERVICES LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COWEN FINANCIAL PRODUCTS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COWEN HEALTHCARE INVESTMENTS Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
COWEN HEALTHCARE INVESTMENTS Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
COWEN INTERNATIONAL LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COWEN INVESTMENT MANAGEMENT LLC Other investment adviser, including financial planners
COWEN PRIME ADVISORS LLC Other investment adviser, including financial planners
COWEN SUSTAINABLE INVESTMENTS Other investment adviser, including financial planners
COWEN SUSTAINABLE INVESTMENTS Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
COWEN TRADING STRATEGIES LLC Other investment adviser, including financial planners
HEALTHCARE ROYALTY MANAGEMENT, LLC Other investment adviser, including financial planners
HEALTHCARE ROYALTY PARTNERS Other investment adviser, including financial planners
QUARTON, A COWEN COMPANY Broker-dealer, municipal securities dealer, or gov securities broker or dealer
RAMIUS ADVISORS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
RCG LONGVIEW Other investment adviser, including financial planners
RCG LONGVIEW Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
RCG RE MANAGER LLC Sponsor or syndicator of limited partnerships
WESTMINSTER RESEARCH ASSOCIATES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CHI EF II LP Private Equity Fund $10.8M $0.1M 106
CHI EF III LP Private Equity Fund $12.7M $0.1M 99
CHI EF IV LP Private Equity Fund $20.0M $0.1M 126
COWEN HEALTHCARE INVESTMENTS II LP Private Equity Fund $144.3M $5.0M 279
COWEN HEALTHCARE INVESTMENTS III LP Private Equity Fund $428.9M $5.0M 810
COWEN HEALTHCARE INVESTMENTS IV LP Private Equity Fund $539.9M $5.0M 798

Control Persons

Name Type Entity Title Since Ownership
BENWITT, MICHAEL, G Individual – GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC 01/2012 < 5%
RYAN, JAMES, DAVID Individual – CHIEF FINANCIAL OFFICER 08/2015 < 5%
ROSMAN, ELIZABETH, RACHEL Individual – HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC 08/2018 < 5%
COWEN INVESTMENT MANAGEMENT LLC Domestic Entity – MANAGING MEMBER 12/2002 > 75%
COWEN INC. Domestic Entity COWEN INVESTMENT MANAGEMENT LLC MANAGING MEMBER 11/2009 > 75%
Latourelle, Ashley, Paige Individual – CHIEF COMPLIANCE OFFICER 08/2022 < 5%
TORONTO DOMINION (U.S.A.) HOLDINGS, INC. Domestic Entity COWEN INC. SHAREHOLDER 03/2023 > 75%
TD GROUP US HOLDINGS LLC Domestic Entity TORONTO DOMINION (U.S.A.) HOLDINGS, INC. SHAREHOLDER 03/2013 > 75%
THE TORONTO-DOMINION BANK Foreign Entity TD GROUP US HOLDINGS LLC SHAREHOLDER 03/2003 > 75%

No. Employees, Historic

4020020192020202120222023202431 on 7/29/201931 on 3/30/202030 on 3/29/202134 on 3/29/202234 on 1/12/202334 on 3/31/202334 on 4/24/202334 on 6/5/2023

RAUM, Historic

2B1B0201920202021202220232024345525000 on 7/29/2019732521790 on 3/30/2020934942220 on 3/29/20211162690187 on 3/29/20221162690187 on 1/12/20231156715814 on 3/31/20231156715814 on 4/24/20231156715814 on 6/5/2023

No. Clients, Historic

10502019202020212022202320245 on 7/29/20196 on 3/30/20206 on 3/29/20216 on 3/29/20226 on 1/12/20236 on 3/31/20236 on 4/24/20236 on 6/5/2023

Holdings

From latest 13F, filed November 13th, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
2SEVENTY BIO INC COMMON STOCK 4M 1M 6
ACELYRIN INC COM 23M 2M 6
BLACK DIAMOND THERAPEUTICS I COM 2M 720K 6
BLUEPRINT MEDICINES CORP COM 5M 93K 6
COMPASS THERAPEUTICS INC COM 6M 3M 6
CULLINAN ONCOLOGY INC COM 31M 3M 6
DIREXION SHS ETF TR DAILY S&P BIOTEC 5M 225K 6
DISC MEDICINE INC COM 1M 25K 6
FREELINE THERAPEUTICS HLDGS SPONSORED ADS 373K 87K 6
GRAPHITE BIO INC COM 573K 231K 6
IKENA ONCOLOGY INC COM 9M 2M 6
INOZYME PHARMA INC COM 5M 1M 6
KEROS THERAPEUTICS INC COM 13M 408K 6
LARIMAR THERAPEUTICS INC COM 13M 3M 6
MINERALYS THERAPEUTICS INC COM 5M 568K 6
MOONLAKE IMMUNOTHERAPEUTICS CLASS A ORD 3M 60K 6
OMEGA THERAPEUTICS INC COMMON STOCK 2M 1M 6
ORCHARD THERAPEUTICS PLC SPON ADS NEW 14M 12M 6
OVID THERAPEUTICS INC COM 3M 865K 6
PLIANT THERAPEUTICS INC COM 52M 3M 6
PLIANT THERAPEUTICS INC COM 55K 138K 6
PRECISION BIOSCIENCES INC COM 207K 607K 6
RALLYBIO CORP COM 1M 391K 6
REPARE THERAPEUTICS INC COM 36M 3M 6
REPARE THERAPEUTICS INC COM 158K 50K 6
SAGIMET BIOSCIENCES INC COM SER A 3M 349K 6
SYROS PHARMACEUTICALS INC COM NEW 5M 1M 6
ULTRAGENYX PHARMACEUTICAL IN COM 8M 215K 6