EMPERY ASSET MANAGEMENT, LP
Adviser information for EMPERY ASSET MANAGEMENT, LP last updated from Form ADV on March 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $136.9M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $136.9M |
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 | $136.9M |
| 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 | 33 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Principal Office
ONE ROCKEFELLER PLAZASUITE 1205
NEW YORK CITY
NY
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 212-608-3300, Fax: None
Chief Compliance Officer
BRETT S. DIRECTOR
CHIEF COMPLIANCE OFFICER
ONE ROCKEFELLER PLAZA
SUITE 1205
NEW YORK
NY
United States
Tel:
212-608-3300
B*************@***********M
(Full email address available in API data)
Regulatory Contact
RYAN M. LANE
CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND PORTFOLIO MANAGER
ONE ROCKEFELLER PLAZA
SUITE 1205
NEW YORK
NY
United States
Tel:
212-608-3300
R********@***********M
(Full email address available in API data)
Industry Affiliates
| EMPERY GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EMPERY ASSET MASTER, LTD | Hedge Fund | $59.1M | $1.0M | 51 |
| EMPERY DEBT OPPORTUNITY FUND, LP | Hedge Fund | $36.5M | $0.1M | 3 |
| EMPERY TAX EFFICIENT III, LP | Hedge Fund | $24.1M | $1.0M | 2 |
| EMPERY TAX EFFICIENT, LP | Hedge Fund | $17.2M | $0.3M | 46 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LANE, RYAN, MATTHEW | Individual | – | CHIEF OPERATING OFFICER | 02/2008 | 25-50% |
| HOE, MARTIN, D. | Individual | – | CHIEF INVESTMENT OFFICER | 02/2008 | 25-50% |
| EMPERY AM GP, LLC | Domestic Entity | – | GENERAL PARTNER | 02/2008 | < 5% |
| LANE, RYAN, MATTHEW | Individual | EMPERY AM GP, LLC | MANAGING MEMBER | 02/2008 | 50-75% |
| HOE, MARTIN, D. | Individual | EMPERY AM GP, LLC | MANAGING MEMBER | 02/2008 | 50-75% |
| DIRECTOR, BRETT, STEVEN | Individual | – | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 10/2014 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 14th, 2022 for period ending September 30th, 2022
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 89BIO INC | COM | 2K | 400K | – |
| ACLARION INC | *W EXP 04/21/202 | 42 | 110K | – |
| ADARA ACQUISITION CORP | *W EXP 02/11/202 | 36 | 190K | – |
| AMERICAN REBEL HOLDINGS INC | *W EXP 01/20/202 | 4 | 60K | – |
| AMPLITECH GROUP INC | *W EXP 01/01/202 | 32 | 72K | – |
| ARBE ROBOTICS LTD | *W EXP 10/07/202 | 123 | 190K | – |
| ASSURE HLDGS CORP | COM | 36 | 56K | – |
| ATHENEX INC | COM | 391 | 1M | – |
| AUDDIA INC | *W EXP 10/17/202 | 66 | 150K | – |
| BENITEC BIOPHARMA INC | COM | 296 | 797K | – |
| BIOCARDIA INC | *W EXP 08/06/202 | 15 | 18K | – |
| BIOFRONTERA INC | *W EXP 10/27/202 | 45 | 75K | – |
| BOA ACQUISITION CORP | *W EXP 02/22/202 | 7 | 32K | – |
| BONE BIOLOGICS CORP | *W EXP 10/13/202 | 18 | 140K | – |
| BRUUSH ORAL CARE INC | *W EXP 08/03/202 | 6 | 20K | – |
| CACTUS ACQUISITION CORP I LT | *W EXP 08/17/202 | 7 | 95K | – |
| CC NEUBERGER PRINCIPAL HOLDN | *W EXP 99/99/999 | 20 | 110K | – |
| CEA INDUSTRIES INC | *W EXP 02/11/202 | 75 | 500K | – |
| CELULARITY INC | *W EXP 07/16/202 | 39 | 101K | – |
| CINGULATE INC | *W EXP 12/10/202 | 110 | 500K | – |
| CLASS ACCELERATION CORP | *W EXP 03/31/202 | 1 | 50K | – |
| CODIAK BIOSCIENCES INC | COM | 186 | 238K | – |
| CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 21 | 61K | – |
| DERMATA THERAPEUTICS INC | *W EXP 08/13/202 | 17 | 175K | – |
| DIRECT DIGITAL HOLDINGS INC | *W EXP 02/15/202 | 73 | 270K | – |
| FAT BRANDS INC | *W EXP 07/16/202 | 1K | 282K | – |
| FGI INDUSTRIES LTD | *W EXP 01/21/202 | 41 | 103K | – |
| G SQUARED ASCEND I INC | *W EXP 02/01/202 | 3 | 40K | – |
| GIGINTERNATIONAL1 INC | *W EXP 04/19/202 | 24 | 298K | – |
| GOLD ROYALTY CORP | *W EXP 99/99/999 | 42 | 112K | – |
| GOLDEN ARROW MERGER CORP | *W EXP 07/31/202 | 7 | 127K | – |
| GREENLIGHT BIOSCIENCS HLDS P | *W EXP 02/02/202 | 21 | 94K | – |
| GREENWAVE TECHNOLOGY SOLUTIO | COM | 1K | 619K | – |
| GUARDFORCE AI CO LTD | *W EXP 10/01/202 | 36 | 302K | – |
| HAGERTY INC | *W EXP 12/02/202 | 438 | 179K | – |
| HARBOR CUSTOM DEVELOPMENT IN | *W EXP 10/04/202 | 487 | 3M | – |
| HARBOR CUSTOM DEVELOPMENT IN | *W EXP 05/09/202 | 23 | 116K | – |
| HEARTBEAM INC | *W EXP 10/31/202 | 53 | 90K | – |
| IVEDA SOLUTIONS INC | *W EXP 04/01/202 | 16 | 100K | – |
| JEFFS BRANDS LTD | *W EXP 08/26/202 | 60 | 361K | – |
| KASPIEN HOLDINGS INC | COM | 5 | 3K | – |
| KUBIENT INC | *W EXP 07/09/202 | 15 | 80K | – |
| LEXARIA BIOSCIENCE CORP | *W EXP 01/11/202 | 74 | 126K | – |
| LIGHTNING EMOTORS INC | *W EXP 05/18/202 | 135 | 676K | – |
| LUMIRADX LTD | *W EXP 09/28/202 | 3 | 24K | – |
| MARIS TECH LTD | *W EXP 02/04/202 | 50 | 298K | – |
| MDH ACQUISITION CORP | *W EXP 02/02/202 | 1 | 38K | – |
| MEDICENNA THERAPEUTICS CORP | COM | 489 | 589K | – |
| METEN HOLDING GROUP LTD | SHS | 208 | 577K | – |
| MIND MEDICINE MINDMED INC | COM | 656 | 188K | – |
| MOUNT RAINIER ACQUISITION CO | *W EXP 11/27/202 | 29 | 191K | – |
| NEUROSENSE THERAPEUTICS LTD | *W EXP 11/10/202 | 47 | 160K | – |
| NEXALIN TECHNOLOGY INC | *W EXP 09/15/202 | 22 | 120K | – |
| NEXGEL INC | *W EXP 12/01/202 | 27 | 90K | – |
| NLS PHARMACEUTICALS LTD | *W EXP 09/25/202 | 38 | 150K | – |
| NOBLE ROCK ACQUISITION CORP | *W EXP 01/31/202 | 1 | 16K | – |
| NORTHERN GENESIS ACQU CORP I | *W EXP 12/31/202 | 2 | 71K | – |
| NUTRIBAND INC | *W EXP 09/30/202 | 280 | 70K | – |
| ONFOLIO HOLDINGS INC | *W EXP 01/02/202 | 19 | 100K | – |
| OPY ACQUISITION CORP I | *W EXP 09/22/202 | 16 | 149K | – |
| ORION BIOTECH OPPORTUNTES CO | *W EXP 04/15/202 | 5 | 40K | – |
| PEPPERLIME HEALTH ACQUSTN CO | *W EXP 10/01/202 | 59 | 740K | – |
| PETVIVO HOLDINGS INC | *W EXP 08/13/202 | 84 | 193K | – |
| PINEAPPLE ENERGY INC | COM | 79 | 91K | – |
| POLISHED COM INC | *W EXP 06/02/202 | 988 | 8M | – |
| PURECYCLE TECHNOLOGIES INC | *W EXP 03/17/202 | 68 | 20K | – |
| PYXIS TANKERS INC | *W EXP 09/15/202 | 67 | 152K | – |
| QUALTEK SERVICES INC | *W EXP 02/14/202 | 11 | 42K | – |
| SWVL HOLDINGS CORP | *W EXP 03/31/202 | 1 | 48K | – |
| REVELATION BIOSCIENCES INC | *W EXP 01/10/202 | 10 | 233K | – |
| ROSECLIFF ACQUISITION CORP I | *W EXP 02/11/202 | 2 | 33K | – |
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 54 | 182K | – |
| SELLAS LIFE SCIENCES GROUP I | COM | 623 | 308K | – |
| SEQLL INC | *W EXP 08/31/202 | 20 | 235K | – |
| SHARPS TECHNOLOGY INC | *W EXP 04/13/202 | 291 | 830K | – |
| SOBR SAFE INC | COM | 666 | 248K | – |
| SUNSHINE BIOPHARMA INC | *W EXP 02/15/202 | 7 | 15K | – |
| SURGEPAYS INC | *W EXP 10/22/202 | 367 | 286K | – |
| SURROZEN INC | COM | 436 | 216K | – |
| TC BIOPHARM HOLDINGS PLC | *W EXP 02/08/202 | 653 | 3M | – |
| TG VENTURE ACQUISITION CORP | *W EXP 08/15/202 | 14 | 238K | – |
| TROIKA MEDIA GROUP INC | COM | 62 | 182K | – |
| TURMERIC ACQUISITION CORP | *W EXP 10/08/202 | 3 | 100K | – |
| UNITY BIOTECHNOLOGY INC | COM | 2K | 4M | – |
| VELODYNE LIDAR INC | *W EXP 09/29/202 | 8 | 19K | – |
| WEARABLE DEVICES LTD | ORDINARY SHS | 255 | 290K | – |
| WEARABLE DEVICES LTD | *W EXP 09/14/202 | 295 | 1M | – |
| WORKSPORT LTD | *W EXP 06/01/202 | 57 | 193K | – |