Hedge Fund Database

COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

Adviser information for COHEN & COMPANY FINANCIAL MANAGEMENT, LLC 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 Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 31
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 14
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 28 $1.0B
Non-Discretionary 1 $167.0M
Total 29 $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 28 $1.0B
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 $167.0M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 24

Services

Advisory Services Portfolio management for pooled investment vehiclesMANAGE U.S. INSURANCE JOINT VENTURE
Compensation % of AUMPerformance-based feesPORTION OF FOUNDERS SHARE ALLOCATION PURCHASED AT NOMINAL COST

Identifiers

SEC RIA File Number 801-63845
SEC ERA File Number 801-63845
SEC CIK Numbers 1778536
SEC CRD Numbers 133171
Legal Entity Identifier 894500VWSNITUVG9E667

Principal Office

3 COLUMBUS CIRCLE
24TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 646-792-5600, Fax: None

Websites

www.cohenandcompany.com www.linkedin.com/company/cohen-and-company-asset-management/

Chief Compliance Officer

TINA P. SHAW
MANAGING DIRECTOR
3 COLUMBUS CIRCLE
24TH FLOOR
NEW YORK
NY
United States
Tel: 646-792-5638
(Full email address available in API data)

Regulatory Contact

DENNIS CRILLY
GENERAL COUNSEL & SECRETARY
3 COLUMBUS CIRCLE
24TH FLOOR
NEW YORK
NY
United States
Tel: 646-792-5601
(Full email address available in API data)

Industry Affiliates

ASJC GLOBAL MANAGEMENT LLC Sponsor, GP, manager of pooled investment vehicles
COHEN & COMPANY FINANCIAL (EUROPE) S.A. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
J.V.B. FINANCIAL GROUP, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
VELLAR SPECIAL OPPORTUNITIES GP LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ALESCO PREFERRED FUNDING III, LTD Securitized Asset Fund $94.3M $0.0M 0
ALESCO PREFERRED FUNDING IV, LTD Securitized Asset Fund $164.4M $0.0M 0
ALESCO PREFERRED FUNDING V, LTD Securitized Asset Fund $158.5M $0.0M 0
ALESCO PREFERRED FUNDING VI, LTD Securitized Asset Fund $215.9M $0.0M 0
ALESCO PREFERRED FUNDING VIII, LTD Securitized Asset Fund $255.8M $0.0M 0
ASJC GLOBAL LLC - SERIES 6 SERIES LLC $0.0M $0.1M 6
ASJC GLOBAL LLC - SERIES 8 SERIES LLC $3.0M $0.1M 9
ASJC GLOBAL LLC - SERIES 11 SERIES LLC $2.4M $0.1M 25
ASJC GLOBAL LLC - SERIES 14 SERIES LLC $0.0M $0.1M 7
ASJC GLOBAL LLC - SERIES 15 SERIES LLC $0.6M $0.1M 11
ASJC GLOBAL LLC - SERIES 16 SERIES LLC $0.2M $0.1M 11
ASJC GLOBAL LLC - SERIES 17 SERIES LLC $1.6M $0.1M 10
ASJC GLOBAL LLC - SERIES 18 SERIES LLC $2.3M $0.1M 16
ASJC GLOBAL LLC - SERIES 20 SERIES LLC $2.0M $0.1M 17
ASJC GLOBAL LLC - SERIES 23 SERIES LLC $0.1M $0.1M 18
ASJC GLOBAL LLC - SERIES 24 SERIES LLC $9.9M $0.1M 22
ASJC GLOBAL LLC - SERIES 26 SERIES LLC $3.5M $0.1M 14
DEKANIA EUROPE CDO II PLC Securitized Asset Fund $53.8M $0.0M 0
DEKANIA EUROPE CDO III PLC Securitized Asset Fund $57.1M $0.0M 0
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 2 SERIES LLC $0.0M $0.1M 10
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 3 SERIES LLC $0.4M $0.1M 15
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 6 SERIES LLC $1.2M $0.1M 5
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 21 SERIES LLC $2.0M $0.1M 13
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 22 SERIES LLC $0.1M $0.1M 14
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 23 SERIES LLC $0.5M $0.1M 4
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 24 SERIES LLC $3.0M $0.1M 19
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 27 SERIES LLC $0.2M $0.1M 5
VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 29 SERIES LLC $2.5M $0.1M 5

Control Persons

Name Type Entity Title Since Ownership
POOLER, JOSEPH, WILLIAM Individual – CHIEF FINANCIAL OFFICER 11/2007 < 5%
DEKANIA INVESTORS, LLC Domestic Entity – MEMBER 06/2003 > 75%
COHEN, DANIEL, GIDEON Individual COHEN BROS. FINANCIAL, LLC MEMBER 10/2001 > 75%
COHEN & COMPANY, LLC (F/K/A COHEN BROTHERS, LLC) Domestic Entity DEKANIA INVESTORS, LLC MEMBER 04/2005 > 75%
COHEN & COMPANY, INC. Domestic Entity COHEN & COMPANY, LLC (F/K/A COHEN BROTHERS, LLC) MEMBER 12/2009 50-75%
DAVILMAN, ANDREW, KENNETH Individual – CHIEF OPERATING OFFICER 04/2018 < 5%
SHAW, TINA, PAULSEN Individual – CHIEF COMPLIANCE OFFICER 03/2021 < 5%
CRILLY, DENNIS, JAMES Individual – GENERAL COUNSEL & SECRETARY, SENIOR VICE PRESIDENT 09/2020 < 5%

No. Employees, Historic

4020020192020202120222023202420256 on 4/24/20198 on 3/27/202024 on 3/31/202134 on 3/31/202234 on 5/10/202237 on 3/31/202337 on 5/18/202337 on 11/1/202331 on 3/29/2024

RAUM, Historic

3B2B020192020202120222023202420252128508146 on 4/24/20192083673860 on 3/27/20202186436821 on 3/31/20211658821709 on 3/31/20221668962294 on 5/10/20221299397925 on 3/31/20231298435339 on 5/18/20231298435339 on 11/1/20231202093237 on 3/29/2024

No. Clients, Historic

50250201920202021202220232024202510 on 4/24/201912 on 3/27/202021 on 3/31/202150 on 3/31/202250 on 5/10/202241 on 3/31/202341 on 5/18/202341 on 11/1/202329 on 3/29/2024

Holdings

From latest 13F, filed November 14th, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
APPRECIATE HOLDINGS INC CLASS A COM 2K 10K –
ESGL HLDGS LTD SHS 669K 1M –
LANZATECH GLOBAL INC COM 13M 3M –
LANZATECH GLOBAL INC *W EXP 01/01/202 2M 2M –
OCEAN BIOMEDICAL INC COM 233K 60K –
RUBICON TECHNOLOGIES INC CL A 427K 205K –
SATIXFY COMMUNICATIONS LTD ORD SHS 2M 3M –
SHF HOLDINGS INC CLASS A COM 767K 971K –