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| Cohen & Company Financial Management LLC
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| CRD # | 133171 |
| SEC # | 801-63845 |
| CIK # | 0001510279, 0001778536, 0001270436 |
| AUM | 237.4 M (2026-03-31) |
| Employees | 29 (17% Investors, 55% Brokers) |
| Phone | 646-792-5600 |
| Address | 3 Columbus Circle New York, NY 10019 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| AMCI Acquisition Corp II | 12.6 | ||
| AMCI Acquisition Corp II | 2.1 | ||
| Northern Lights Acquisition Corp | 0.8 | ||
| ESGL Holdings Ltd | 0.3 | ||
| Aesther Healthcare Acquisition Corp | 0.2 | ||
| Holdings by Sector ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| LF | SMI 2018 LP | 2026-03-31 | 132.3 M | |
| Other | ASJC Global LLC - Series 1 | [2022-03-31] | 2.1 M | 0.0 M |
| Filed 2022-02-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 11 | [2022-03-31] | 5.1 M | 11.5 M |
| Filed 2024-04-18 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 14 | [2022-03-31] | 7.6 M | 5.1 M |
| Filed 2024-07-26 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 15 | [2022-03-31] | 2.7 M | 0.6 M |
| Filed 2024-02-01 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 16 | [2022-03-31] | 2.4 M | 0.2 M |
| Filed 2024-07-26 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 17 | [2022-03-31] | 2.2 M | 1.6 M |
| Filed 2024-05-31 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 18 | [2022-03-31] | 2.9 M | 2.3 M |
| Filed 2024-07-26 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 20 | [2022-03-31] | 4.7 M | 1.2 M |
| Filed 2024-11-29 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| Other | ASJC Global LLC - Series 23 | [2022-03-31] | 2.7 M | 0.1 M |
| Filed 2024-07-26 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose | ||||
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 5 | 0.2 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 5 | 0.2 |
| By Discretionary | ||
| Discretionary | 4 | 0.1 |
| Non-Discretionary | 1 | 0.1 |
| Total | 5 | 0.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.1 | |
| United States Persons | 0.1 | |
| Total | 5 | 0.2 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Asjc Global Management LLC | Executive Officer | 19 | 2 | |
| Vellar Special Opportunities GP LLC | Executive Officer | 17 | 1 | |
| Vellar Opportunities GP LLC | Executive Officer | 8 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 10-K | [0001270436] | |
| 10-Q | [0001270436] | |
| 3 | [0001270436] | |
| 4 | [0001270436] | |
| 5 | [0001270436] | |
| 8-K | [0001270436] | |
| SC 13D | [0001270436] | |
| 3 | [0001510279] | |
| 4 | [0001510279] | |
| D | [0001510279] | |
| 13F-HR | [0001778536] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $2.8B |
| Serves | Institutional |
| LEI | 894500VWSNITUVG9E667 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2026-03-30 | Gift | 20,000 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2026-03-20 | Sell | 705 | $15.58 | 10,984 |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2026-03-19 | Sell | 6,113 | $17.15 | 104,838 |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC LTIP Units · derivative
|
2026-03-06 | Grant | 160,000 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC LTIP Units · derivative
|
2026-03-06 | Grant | 2,888,000 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC LTIP Units · derivative
|
2026-03-06 | Grant | 1,605,000 | $0.00 | |
|
Columbus Circle Capital Corp II CMIIU
Class A ordinary shares
|
2026-02-12 | Buy | 265,000 | $10.00 | 2,650,000 |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC Membership Units · derivative
|
2026-02-03 | Option exercise | 501,455 | $1.95 | 977,837 |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2026-02-03 | Tax withheld | 3,252 | $18.69 | 60,780 |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2026-02-03 | Tax withheld | 7,051 | $18.69 | 131,783 |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC Membership Units · derivative
|
2026-02-03 | Option exercise | 463,915 | $1.95 | 904,634 |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-30 | Gift | 30,000 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-19 | Grant | 2,300 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-19 | Grant | 2,300 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-19 | Grant | 2,300 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-19 | Grant | 12,000 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-19 | Grant | 15,500 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Common Stock, par value $0.01 per share
|
2025-12-19 | Grant | 2,300 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC Membership Units · derivative
|
2025-12-19 | Grant | 211,000 | $0.00 | |
|
Institutional Financial Markets Inc COHN
Cohen & Company, LLC Membership Units · derivative
|
2025-12-19 | Grant | 211,000 | $0.00 | |
| showing 20 of 200 most recent transactions | |||||
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|---|---|---|
|
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✚
|
NY | 237.4 M |
|
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✚
|
NY |
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|
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|
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|
Trinetra Investment Management LLP
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241.1 M | |
|
Corporate Consulting Group Inc
✚
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OK | 240.8 M |
|
GSA Capital Partners New York LP
✚
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NY | 237.6 M |
|
NDH Opportunity LLC
✚
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235.4 M | |
|
Reef Investment Management LLC
✚
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UT | 234.3 M |
|
Windmark Investment Partners Inc
✚
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DE | 233.3 M |
|
APIS & Heritage Capital Partners LLC
✚
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DC | 231.1 M |