RAMIUS ADVISORS, LLC
COWEN INVESTMENT ADVISORS, LLC Legal Name
Adviser information for RAMIUS ADVISORS, LLC last updated from Form ADV on June 22nd, 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 | 31 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 16 | $488.6M |
| Non-Discretionary | 0 | $0 |
| Total | 16 | $488.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $182.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 10 | $285.2M |
| 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 | <5 | $21.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 54 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesADVISE PROPRIETARY SECURITIES PORTFOLIOS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
599 LEXINGTON AVE.20TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 646-562-1010, Fax: None
Chief Compliance Officer
ASHLEY LATOURELLE
599 LEXINGTON AVENUE
20TH FLOOR
NEW YORK
NY
United States
Tel:
(609) 304-6161
A****************@********M
(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
M**************@********M
(Full email address available in API data)
Industry Affiliates
| ATM EXECUTION LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COWEN AND COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COWEN AND COMPANY | 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 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 |
| 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 |
|---|---|---|---|---|
| RAMIUS ENTERPRISE LP | Hedge Fund | $49.8M | $1.0M | 31 |
| RAMIUS ENTERPRISE LTD. | Hedge Fund | $8.2M | $1.0M | 10 |
| RAMIUS MERGER MASTER FUND LTD. | Hedge Fund | $68.7M | $1.0M | 35 |
| RAMIUS MULTI-STRATEGY FUND LP | Hedge Fund | $8.4M | $0.1M | 113 |
| RAMIUS MULTI-STRATEGY FUND LTD. | Hedge Fund | $49.4M | $1.0M | 64 |
| RCG OVERSEAS, LTD. | Hedge Fund | $56.2M | $1.0M | 16 |
| RCL LINKEM II LLC | Hedge Fund | $73.8M | $0.0M | 109 |
| RCL LINKEM LLC | Hedge Fund | $13.9M | $0.0M | 105 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COWEN INVESTMENT MANAGEMENT LLC | Domestic Entity | – | MANAGING AND SOLE MEMBER | 11/2009 | > 75% |
| COWEN INC. | Domestic Entity | COWEN INVESTMENT MANAGEMENT LLC | PARENT | 11/2009 | > 75% |
| Latourelle, Ashley, Paige | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |
| BENWITT, MICHAEL, G | Individual | – | CHIEF OPERATING OFFICER AND GENERAL COUNSEL, COWEN INVESTMENT MANAGEMENT LLC | 01/2012 | < 5% |
| RYAN, JAMES, DAVID | Individual | – | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | 08/2015 | < 5% |
| ROSMAN, ELIZABETH, RACHEL | Individual | – | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | 08/2018 | < 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 | 03/2023 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 13th, 2023 for period ending September 30th, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| N/A | COM | 0 | 0 | – |