Cohen & Company Financial Management LLC

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Cohen & Company Financial Management LLC ✚
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) Copy

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
Other	ASJC Global LLC - Series 24	[2022-03-31]	6.3 M	0.5 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 26	[2022-03-31]	2.4 M	3.5 M
	Filed 2025-05-30 (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 3	[2022-03-31]	3.5 M	1.3 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 4	[2022-03-31]	3.1 M	0.1 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 5	[2022-03-31]	2.1 M	8.5 M
	Filed 2021-02-11 (D) · 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 6	[2022-03-31]	4.1 M	1.6 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 7	[2022-03-31]	1.9 M	0.0 M
	Filed 2021-03-26 (D) · 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 8	[2022-03-31]	5.3 M	1.0 M
	Filed 2025-07-25 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
SA	Dekania Europe CDO II PLC	2022-03-31		57.2 M
Other	Vellar Special Opportunities Fund LLC - Series 11	[2022-03-31]	2.2 M	17.1 M
	Filed 2021-03-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 12	[2022-03-31]	2.3 M	0.0 M
	Filed 2021-03-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 14	[2022-03-31]	2.1 M	0.0 M
	Filed 2021-03-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 15	[2022-03-31]	7.6 M	0.0 M
	Filed 2021-03-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 16	[2022-03-31]	2.5 M	5.3 M
	Filed 2021-04-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 17	[2022-03-31]	2.1 M	3.9 M
	Filed 2021-04-23 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 18	[2022-03-31]	0.8 M	0.6 M
	Filed 2021-03-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 19	[2022-03-31]	2.8 M	1.6 M
	Filed 2021-04-23 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 20	[2022-03-31]	1.6 M	1.6 M
	Filed 2021-04-27 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 21	[2022-03-31]	2.8 M	2.0 M
	Filed 2024-11-21 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 22	[2022-03-31]	3.5 M	0.1 M
	Filed 2024-04-24 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 23	[2022-03-31]	2.1 M	0.1 M
	Filed 2025-07-25 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 24	[2022-03-31]	3.2 M	1.6 M
	Filed 2021-12-17 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 26	[2022-03-31]	3.2 M	3.6 M
	Filed 2021-10-20 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 27	[2022-03-31]	1.3 M	0.2 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	Vellar Special Opportunities Fund LLC - Series 29	[2022-03-31]	3.1 M	2.3 M
	Filed 2025-07-25 (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 2	[2021-03-31]	1.0 M	2.7 M
	Filed 2020-11-24 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
SA	Dekania Europe CDO III PLC	2021-03-31		47.0 M
Other	Vellar Special Opportunities Fund LLC - Series 10	[2021-03-31]	2.4 M	1.6 M
	Filed 2020-12-28 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 4	[2021-03-31]	3.8 M	3.7 M
	Filed 2020-09-09 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 6	[2021-03-31]	2.1 M	1.2 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	Vellar Special Opportunities Fund LLC - Series 8	[2021-03-31]	2.8 M	2.6 M
	Filed 2021-03-29 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 9	[2021-03-31]	2.2 M	0.4 M
	Filed 2020-12-28 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 2	[2020-03-27]		0.0 M
	Filed 2019-03-11 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 3	[2020-03-27]	1.2 M	0.4 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	Vellar Opportunities Fund Master Ltd	2019-04-24		82.7 M
Other	Vellar Opportunities Fund LP	[2019-03-29]	111.6 M	15.4 M
	Filed 2022-08-10 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
Other	Vellar Special Opportunities Fund LLC - Series 1	[2019-03-29]	1.0 M	0.0 M
	Filed 2019-03-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
SA	Dekania Europe CDO II PLC	2012-04-04		88.8 M
SA	Alesco Preferred Funding II Ltd	2012-03-30		187.1 M
SA	Alesco Preferred Funding I Ltd	2012-03-30		112.0 M
SA	Alesco Preferred Funding VII Ltd	2012-03-30		330.3 M

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
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]

Form 13D/13G Filer	Form 13D/13G Subject	Filed
Brafman Lester Raymond	Cohen & Co Inc	[2021-02-16]
Brafman Lester Raymond	Institutional Financial Markets Inc	[2015-10-01]
Cohen Betsy Z	Institutional Financial Markets Inc	[2015-09-08]
Cohen Edward E	Institutional Financial Markets Inc	[2015-09-08]
Ahmad Nasser	Institutional Financial Markets Inc	[2013-10-04]
Dimaio Jack	Institutional Financial Markets Inc	[2013-10-04]
Mead Park Capital Partners LLC	Institutional Financial Markets Inc	[2013-10-04]
EBC 2013 Family Trust	Institutional Financial Markets Inc	[2013-09-30]

Firm Profile (Form ADV)
Discretionary AUM	$2.8B
Serves	Institutional
LEI	894500VWSNITUVG9E667

Form 3/4/5 Subject	2011 - 2026
Columbus Circle Capital Corp III
IFMI LLC
Institutional Financial Markets Inc
Columbus Circle 3 Sponsor Corp LLC
Cohen Daniel G
Pooler Joseph W Jr
Brafman Lester Raymond
Columbus Circle 2 Sponsor Corp LLC
Columbus Circle Capital Corp II
Listman Douglas
View All

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

Related Firms	State	AUM
Cohen & Company Financial Management LLC ✚	NY	237.4 M
Dekania Capital Management LLC ✚	NY

Comparable Firms	State	AUM
Alternative Fund Advisors LLC ✚	MA	245.6 M
SAAS Capital LLC ✚	OH	244.9 M
Plante Moran Real Estate Investment Advisors LLC ✚	MI	242.8 M
Trinetra Investment Management LLP ✚		241.1 M
Corporate Consulting Group Inc ✚	OK	240.8 M
GSA Capital Partners New York LP ✚	NY	237.6 M
NDH Opportunity LLC ✚		235.4 M
Reef Investment Management LLC ✚	UT	234.3 M
Windmark Investment Partners Inc ✚	DE	233.3 M
APIS & Heritage Capital Partners LLC ✚	DC	231.1 M

Cohen & Company Financial Management LLC

Assets, Funds, Holdings