Hedge Fund Database

EXOS ASSET MANAGEMENT LLC

Adviser information for EXOS ASSET MANAGEMENT LLC last updated from Form ADV on February 29th, 2024. 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 NOVEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 46
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 17
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 4 $205.7M
Non-Discretionary 0 $0
Total 4 $205.7M

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 4 $205.7M
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 801-119726
SEC ERA File Number 801-119726
SEC CIK Numbers 1834630
SEC CRD Numbers 305706
Legal Entity Identifier None

Principal Office

31 E 32ND STREET
3RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00-5:00 ET
Tel: (646) 814-0996, Fax: None

Websites

www.exosfinancial.com www.linkedin.com/company/exos/

Chief Compliance Officer

MICHAEL FORSTL
31 E 32ND STREET
THIRD FLOOR
NEW YORK
NY
United States
Tel: (646) 814-0996
(Full email address available in API data)

Regulatory Contact

NEIL RADEY
GENERAL COUNSEL
31 E 32ND STREET
THIRD FLOOR
NEW YORK
NY
United States
Tel: (646) 814-0996
(Full email address available in API data)

Industry Affiliates

EXOS COLLATERALIZED SPAC HOLDINGS FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
EXOS SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
EXOS SPAC WARRANT OPPORTUNITIES GP LLC Sponsor, GP, manager of pooled investment vehicles
PLURIBUS LABS Other investment adviser, including financial planners
PLURIBUS LABS GLOBAL CORE EQUITY GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
EXOS COLLATERALIZED SPAC HOLDINGS FUND L.P. Hedge Fund $182.1M $0.0M 1
EXOS SPAC WARRANT OPPORTUNITIES I LLC Hedge Fund $2.1M $0.0M 1

Control Persons

Name Type Entity Title Since Ownership
DOUGAN, BRADY, WILLIAM Individual – CHIEF EXECUTIVE OFFICER 03/2020 < 5%
HATSTADT, PHILIPPE, ANDRE Individual – CHIEF RISK OFFICER 03/2020 < 5%
EARLY, PETER, LYONS Individual – PARTNER, HEAD OF BUSINESS STRATEGY 03/2020 < 5%
EXOS TFP HOLDINGS LLC Domestic Entity – OWNER 06/2021 > 75%
AYABUDGE LLC Domestic Entity EXOS TFP HOLDINGS LLC SHAREHOLDER 11/2018 50-75%
DOUGAN, BRADY, WILLIAM Individual AYABUDGE LLC SHAREHOLDER 07/2018 50-75%
RADEY, DONALD, NEIL Individual – CHIEF LEGAL OFFICER 03/2020 < 5%
Forstl, Michael Individual – CHIEF COMPLIANCE OFFICER 11/2023 < 5%

No. Employees, Historic

904502020202120222023202420250 on 10/1/202011 on 10/16/202011 on 11/9/202011 on 11/17/202011 on 12/14/202011 on 12/15/202011 on 2/3/202126 on 2/23/202129 on 3/5/202129 on 3/5/202128 on 7/16/202128 on 10/25/202128 on 1/11/202262 on 2/25/202262 on 7/6/202262 on 9/15/202262 on 1/31/202362 on 2/1/202388 on 2/24/202388 on 5/24/202388 on 11/2/202388 on 11/27/202346 on 2/29/2024

RAUM, Historic

900M450M020202021202220232024202553473000 on 10/16/202053473000 on 11/9/202053473000 on 11/17/202053473000 on 12/14/202053473000 on 12/15/2020113602479 on 2/3/2021113602479 on 2/23/2021113602479 on 3/5/2021113602479 on 3/5/2021113602479 on 7/16/2021113602479 on 10/25/2021113602479 on 1/11/2022719522190 on 2/25/2022719522190 on 7/6/2022719522190 on 9/15/2022719522190 on 1/31/2023719522190 on 2/1/2023886382005 on 2/24/2023886382005 on 5/24/2023886382005 on 11/2/2023886382005 on 11/27/2023205736701 on 2/29/2024

No. Clients, Historic

10502020202120222023202420250 on 10/1/20202 on 10/16/20202 on 11/9/20202 on 11/17/20202 on 12/14/20202 on 12/15/20203 on 2/3/20213 on 2/23/20213 on 3/5/20213 on 3/5/20213 on 7/16/20213 on 10/25/20213 on 1/11/20227 on 2/25/20227 on 7/6/20227 on 9/15/20227 on 1/31/20237 on 2/1/20238 on 2/24/20238 on 5/24/20238 on 11/2/20238 on 11/27/20234 on 2/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ACRI CAPITAL ACQUISITION COR COM CL A 1M 100K –
ALLURION TECHNOLOGIES INC *W EXP 08/01/203 38K 239K –
AROGO CAPITAL ACQUISITION CO CLASS A COM 2M 157K –
BAYVIEW ACQUISITION CORP ORD SHS 979K 96K –
BELLEVUE LIFE SCNCS AQSTN CO COM 2M 200K –
BELLEVUE LIFE SCNCS AQSTN CO *W EXP 02/09/202 4K 200K –
BELLEVUE LIFE SCNCS AQSTN CO RIGHT 02/09/2028 18K 179K –
BURTECH ACQUISITION CORP CLASS A COM 3M 237K –
CARMELL CORPORATION *W EXP 07/12/202 6K 78K –
CHURCHILL CAPITAL CORP VII *W EXP 02/29/202 90K 258K –
CONDUIT PHARMACEUTICALS INC *W EXP 09/22/202 9K 555K –
FOCUS IMPACT BH3 ACQUISITION CLASS A COM 3M 300K –
DIRECT SELLING ACQUISITIN CO CL A COM 1M 100K –
FTAC EMERALD ACQUISITION COR CLASS A COM 3M 291K –
ESH ACQUISITION CORP COM 3M 275K –
ESH ACQUISITION CORP RIGHT 99/99/9999 30K 275K –
EVEREST CONSOLIDATOR ACQ COR CL A COM 2M 197K –
FOUR LEAF ACQUISITION CORP *W EXP 03/15/202 10K 225K –
GCT SEMICONDUCTOR HLDG INC *W EXP 03/01/202 45K 300K –
GLOBAL BLOCKCHAIN ACQUI CORP COMMON STOCK 1M 100K –
GOAL ACQUISITIONS CORP *W EXP 99/99/999 4K 535K –
GORES HOLDINGS IX INC *W EXP 01/14/202 8K 105K –
HENNESSY CAPITAL INVST CORP *W EXP 99/99/999 3K 21K –
IB ACQUISITION CORP COM SHS 3M 320K –
IRON HORSE ACQUISITIONS CORP UNIT 10/15/2028 354K 35K –
NEW HORIZON AIRCRAFT LTD *W EXP 99/99/999 3K 180K –
NEWBURY STREET ACQUISITN COR *W EXP 04/30/202 5K 81K –
99 ACQUISITION GROUP INC UNIT 99/99/9999 186K 18K –
NKGEN BIOTECH INC *W EXP 05/31/202 13K 146K –
OAK WOODS ACQUISITION CORP CL A 5K 450 –
CERO THERAPEUTICS HLDGS INC *W EXP 02/13/202 74 4K –
QUETTA ACQUISITION CORP COM 2M 195K –
QUETTA ACQUISITION CORP RIGHT 11/30/2024 20K 19K –
RF ACQUISITION CORP CLASS A COM 375K 34K –
SILVERBOX CORP III COM CL A 2M 222K –
SILVERBOX CORP III *W EXP 02/28/202 31K 220K –
SOUTHLAND HLDGS INC *W EXP 02/14/202 78K 228K –
ZAPATA COMPUTING HLDGS INC *W EXP 02/14/202 19K 500K –
AGRICULTURE & NAT SOL ACQ CO *W EXP 10/01/202 136K 850K –
AIMEI HEALTH TECHNOLOGY CO L RIGHT 11/17/2028 34K 161K –
AI TRANSN ACQUISITION CORP RIGHT 09/01/2028 4K 20K –
ALCHEMY INVTS ACQUISITN CORP SHS CL A 2M 209K –
ALCHEMY INVTS ACQUISITN CORP *W EXP 11/30/202 7K 49K –
ALPHAVEST ACQUISITION CORP ORDINARY SHARES 3M 293K –
A SPAC II ACQUISITION CORP ORD SHS CL A 3M 250K –
BLOCKCHAIN COINVSTRS ACQ CRP CLASS A ORD 2M 150K –
BLOCKCHAIN COINVSTRS ACQ CRP *W EXP 11/01/202 24K 400K –
BLUERIVER ACQUISITION CORP *W EXP 01/04/202 1K 101K –
BOWEN ACQUISITION CORP SHS 3M 319K –
BOWEN ACQUISITION CORP RIGHT 99/99/9999 24K 219K –
BUKIT JALIL GBL ACQUISITION *W EXP 12/30/202 3K 125K –
BUKIT JALIL GBL ACQUISITION RIGHT 12/30/2024 33K 220K –
CAPITALWORKS EMNG MKTS ACQST CLASS A ORD SHS 2M 200K –
CAPITALWORKS EMNG MKTS ACQST *W EXP 99/99/999 2K 200K –
CARTICA ACQUISITION CORP *W EXP 04/30/202 130K 668K –
CHAIN BRIDGE I CLASS A ORD 3M 250K –
COLOMBIER ACQUISITION CORP I *W EXP 11/24/202 32K 106K –
CRITICAL METALS CORP *W EXP 02/27/202 60K 196K –
DISTOKEN ACQUISITION CORP ORDINARY SHARES 2M 140K –
DT CLOUD ACQUISITION CORP ORD SHS 2M 199K –
ENPHYS ACQUISITION CORP *W EXP 99/99/999 22K 633K –
ARES ACQUISITION CORP II *W EXP 99/99/999 107K 826K –
GLOBAL LIGHTS ACQUISITION CO ORD SHS 3M 250K –
FINNOVATE ACQUISITION CORP CLASS A ORD SHS 2M 200K –
FINNOVATE ACQUISITION CORP *W EXP 09/30/202 3K 96K –
HAYMAKER ACQUISITION CORP IV *W EXP 05/31/202 9K 50K –
PEARL HOLDINGS ACQUISITN COR CLASS A ORD SHS 3M 250K –
HORIZON SPACE ACQUSTN I CORP *W EXP 12/27/202 3K 178K –
HORIZON SPACE ACQUSTN I CORP RIGHT 03/02/2024 14K 169K –
INFLECTION PT ACQUISITN CRP *W EXP 08/31/202 47K 493K –
ISRAEL ACQUISITIONS CORP CLASS A ORD 494K 45K –
ISRAEL ACQUISITIONS CORP *W EXP 99/99/999 44K 880K –
NVNI GROUP LIMITED *W EXP 11/01/202 5K 304K –
JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 35K 353K –
JVSPAC ACQUISITION CORP SHS CL A 3M 320K –
JVSPAC ACQUISITION CORP RIGHT 11/26/2026 21K 70K –
KEEN VISION ACQUISITION CORP SHS 3M 306K –
KEEN VISION ACQUISITION CORP *W EXP 03/15/202 14K 181K –
KENSINGTON CAPITAL ACQUISITI *W EXP 99/99/999 20K 782K –
KERNEL GROUP HOLDINGS INC *W EXP 99/99/999 19K 147K –
LEARN CW INVESTMENT COR CL A ORD SHS 1M 100K –
LEGATO MERGER CORP III *W EXP 05/08/203 59K 451K –
LIFEZONE METALS LIMITED *W EXP 07/05/202 220K 489K –
MARS ACQUISITION CORP RIGHT 02/09/2028 5K 25K –
MOUNTAIN & CO I ACQUISITN CO *W EXP 09/30/202 32K 383K –
PLUM ACQUISITION CORP III CLASS A ORD SHS 4M 325K –
MURANO GLOBAL INVTS PLC *W EXP 03/19/202 5K 31K –
NABORS ENERGY TRANSITION COR CL A 1M 100K –
NABORS ENERGY TRANSITION COR *W EXP 09/01/202 6K 59K –
PLUM ACQUISITION CORP I *W EXP 03/18/202 28K 328K –
POWERUP ACQUISITION CORP *W EXP 05/23/202 4K 137K –
RF ACQUISITION CORP II UNIT 05/01/2026 2M 202K –
SK GROWTH OPPORTUNITIES CORP CLASS A COM 3M 227K –
SK GROWTH OPPORTUNITIES CORP *W EXP 06/28/202 18K 77K –
SLAM CORP CL A SHS 1M 100K –
SPARK I ACQUISITION CORP ORD SHS 2M 237K –
SPARK I ACQUISITION CORP *W EXP 10/01/203 20K 119K –
SPRING VALLEY ACQUISTN CORP *W EXP 02/25/202 8K 100K –
TLGY ACQUISITION CORPORATION *W EXP 11/09/202 19K 290K –
TMT ACQUISITION CORP SHS 262K 24K –
TMT ACQUISITION CORP RIGHT 03/27/2028 7K 24K –
TORTOISEECOFIN ACQUISITION C *W EXP 07/22/202 8K 70K –
ZALATORIS II ACQUISITION COR CLASS A ORD 4M 320K –
ZALATORIS II ACQUISITION COR *W EXP 99/99/999 3K 82K –
LAKESHORE BIOPHARMA CO LTD *W EXP 03/15/202 4K 50K –
VAST RENEWABLES LIMITED *W EXP 07/01/202 69K 519K –
CORNER GROWTH ACQUISITION CO *W EXP 99/99/999 28K 133K –
GLOBAL PARTNER ACQISTN CORP *W EXP 01/14/202 19K 108K –
SLAM CORP *W EXP 99/99/999 78K 312K –
MOVELLA HOLDINGS INC *W EXP 02/10/202 19K 370K –
NORTHERN STAR INVSTMNT CORP *W EXP 01/31/202 1 8K –
COLISEUM ACQUISITION CORP *W EXP 08/22/202 5K 109K –
CALIDI BIOTHERAPEUTICS INC *W EXP 03/14/202 4K 105K –
ACHARI VENTURES HLDGS CORP I *W EXP 99/99/999 5K 186K –
GLOBAL TECHNOLGY ACQSTN CORP *W EXP 99/99/999 2K 39K –
INTEGRAL ACQUISITION CORP 1 *W EXP 05/31/202 6K 58K –
FOCUS IMPACT ACQUISITION COR *W EXP 99/99/999 2K 71K –
AERIES TECHNOLOGY INC *W EXP 11/06/202 4K 145K –
PROJECT ENERGY REIMAGINED AC *W EXP 99/99/999 9K 101K –
CACTUS ACQUISITION CORP 1 LT *W EXP 08/17/202 234 4K –
ROTH CH ACQUISITION V CO *W EXP 12/10/202 7K 121K –
EVEREST CONSOLIDATOR ACQ COR *W EXP 99/99/999 81 400 –
CANNA GLOBAL ACQUISITION COR *W EXP 99/99/999 600 57K –
BURTECH ACQUISITION CORP *W EXP 12/18/202 53K 211K –
TARGET GLOBAL ACQUISI I CORP *W EXP 12/08/202 6K 56K –
FTAC EMERALD ACQUISITION COR *W EXP 10/19/202 6K 150K –
ATHENA TECHNOLOGY ACQ CORP I *W EXP 10/17/202 4K 108K –
AETHERIUM ACQUISITION CORP *W EXP 99/99/999 796 25K –
PAPAYA GRWT OPPORTUNITY CORP *W EXP 12/31/202 2K 50K –
EVERGREEN CORPORATION *W EXP 02/08/202 6K 126K –
RELATIVITY ACQUISITION CORP *W EXP 12/15/202 2K 47K –
WESTERN ACQSTN VENTURES CORP *W EXP 99/99/999 2K 44K –
ACRI CAPITAL ACQUISITION COR *W EXP 02/01/202 605 11K –
LAVORO LTD *W EXP 02/27/202 30K 75K –
INSIGHT ACQUISITION CORP *W EXP 08/26/202 2K 52K –
BENEFICIENT *W EXP 06/07/202 3K 367K –
ABACUS LIFE INC *W EXP 06/30/202 72K 100K –
CARMELL CORPORATION *W EXP 07/12/202 6K 78K –
COMPLETE SOLARIA INC *W EXP 07/31/202 6K 175K –
TLGY ACQUISITION CORPORATION *W EXP 11/09/202 19K 290K –
ESGL HLDGS LTD *W EXP 10/19/202 5K 363K –
ENVOY MEDICAL INC *W EXP 09/29/202 16K 310K –
EXCELFIN ACQUISITION CORP *W EXP 10/25/202 5K 176K –
MONEYHERO LIMITED *W EXP 09/13/202 794 10K –
BANZAI INTERNATIONAL INC *W EXP 12/14/202 3K 226K –
TRISALUS LIFE SCIENCES INC COM 273K 168K –
VSEE HEALTH INC *W EXP 99/99/999 106K 489K –