Cohen & Company Financial Management LLC

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Cohen & Company Financial Management LLC ✚
CRD #	133171
SEC #	801-63845
CIK #	0001270436, 0001510279, 0001778536
AUM	$1.2 B (2025-03-28)
Employees	29 (21% Investors, 48% 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 ($M)	AUM ($M)
Other	ASJC Global LLC - Series 1	[2022-03-31]	2.1	0.0
Other	ASJC Global LLC - Series 11	[2022-03-31]	5.1	11.5
Other	ASJC Global LLC - Series 14	[2022-03-31]	7.6	5.1
Other	ASJC Global LLC - Series 15	[2022-03-31]	2.7	0.6
Other	ASJC Global LLC - Series 16	[2022-03-31]	2.4	0.2
Other	ASJC Global LLC - Series 17	[2022-03-31]	2.2	1.6
Other	ASJC Global LLC - Series 18	[2022-03-31]	2.9	2.3
Other	ASJC Global LLC - Series 20	[2022-03-31]	4.7	1.2
Other	ASJC Global LLC - Series 23	[2022-03-31]	2.7	0.1
Other	ASJC Global LLC - Series 24	[2022-03-31]	6.3	0.5
Other	ASJC Global LLC - Series 26	[2022-03-31]	2.4	3.5
Other	ASJC Global LLC - Series 3	[2022-03-31]	3.5	1.3
Other	ASJC Global LLC - Series 4	[2022-03-31]	3.1	0.1
Other	ASJC Global LLC - Series 5	[2022-03-31]	2.1	8.5
Other	ASJC Global LLC - Series 6	[2022-03-31]	4.1	1.6
Other	ASJC Global LLC - Series 7	[2022-03-31]	1.9	0.0
Other	ASJC Global LLC - Series 8	[2022-03-31]	5.3	17.4
SA	Dekania Europe CDO II PLC	2022-03-31		50.6
Other	Vellar Special Opportunities Fund LLC - Series 11	[2022-03-31]	2.2	17.1
Other	Vellar Special Opportunities Fund LLC - Series 12	[2022-03-31]	2.3	0.0
Other	Vellar Special Opportunities Fund LLC - Series 14	[2022-03-31]	2.1	0.0
Other	Vellar Special Opportunities Fund LLC - Series 15	[2022-03-31]	7.6	0.0
Other	Vellar Special Opportunities Fund LLC - Series 16	[2022-03-31]	2.5	5.3
Other	Vellar Special Opportunities Fund LLC - Series 17	[2022-03-31]	2.1	3.9
Other	Vellar Special Opportunities Fund LLC - Series 18	[2022-03-31]	0.8	0.6
Other	Vellar Special Opportunities Fund LLC - Series 19	[2022-03-31]	2.8	1.6
Other	Vellar Special Opportunities Fund LLC - Series 20	[2022-03-31]	1.6	1.6
Other	Vellar Special Opportunities Fund LLC - Series 21	[2022-03-31]	2.8	2.0
Other	Vellar Special Opportunities Fund LLC - Series 22	[2022-03-31]	3.5	0.1
Other	Vellar Special Opportunities Fund LLC - Series 23	[2022-03-31]	2.1	0.3
Other	Vellar Special Opportunities Fund LLC - Series 24	[2022-03-31]	3.2	1.6
Other	Vellar Special Opportunities Fund LLC - Series 26	[2022-03-31]	3.2	3.6
Other	Vellar Special Opportunities Fund LLC - Series 27	[2022-03-31]	1.3	0.2
Other	Vellar Special Opportunities Fund LLC - Series 29	[2022-03-31]	3.1	2.3
Other	ASJC Global LLC - Series 2	[2021-03-31]	1.0	2.7
SA	Dekania Europe CDO III PLC	2021-03-31		53.8
Other	Vellar Special Opportunities Fund LLC - Series 10	[2021-03-31]	2.4	1.6
Other	Vellar Special Opportunities Fund LLC - Series 4	[2021-03-31]	3.8	3.7
Other	Vellar Special Opportunities Fund LLC - Series 6	[2021-03-31]	2.1	1.2
Other	Vellar Special Opportunities Fund LLC - Series 8	[2021-03-31]	2.8	2.6
Other	Vellar Special Opportunities Fund LLC - Series 9	[2021-03-31]	2.2	0.4
Other	Vellar Special Opportunities Fund LLC - Series 2	[2020-03-27]	1.0	0.0
Other	Vellar Special Opportunities Fund LLC - Series 3	[2020-03-27]	1.0	0.4
Other	Vellar Opportunities Fund Master Ltd	2019-04-24		82.7
Other	Vellar Opportunities Fund LP	[2019-03-29]	111.6	15.4
Other	Vellar Special Opportunities Fund LLC - Series 1	[2019-03-29]	1.0	0.0
SA	Dekania Europe CDO II PLC	2012-04-04		88.8
SA	Alesco Preferred Funding III Ltd	2012-03-30		94.3
SA	Alesco Preferred Funding II Ltd	2012-03-30		187.1
SA	Alesco Preferred Funding I Ltd	2012-03-30		112.0
SA	Alesco Preferred Funding IV Ltd	2012-03-30		157.4
SA	Alesco Preferred Funding VIII Ltd	2012-03-30		254.0
SA	Alesco Preferred Funding VII Ltd	2012-03-30		330.3
SA	Alesco Preferred Funding VI Ltd	2012-03-30		224.3
SA	Alesco Preferred Funding V Ltd	2012-03-30		149.8

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	16	1.0
(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	1	0.2
Total	17	1.2
By Discretionary
Discretionary	16	1.0
Non-Discretionary	1	0.2
Total	17	1.2
By Non-United States Persons
Non-United States Persons		1.0
United States Persons		0.2
Total	17	1.2

Form D Directors	# Filings	# Firms	2011 - 2025
Cohen & Company Financial Management LLC	45
ASJC Global Management LLC	19
Vellar Opportunities GP LLC	8
Vellar Special Opportunities GP LLC	17

EDGAR Form	CIK	2011 - 2025
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]

Form 3/4/5 Subject	2011 - 2025
COLUMBUS CIRCLE 1 SPONSOR Corp LLC
Cohen & Company, LLC
Columbus Circle Capital Corp. I
Cohen & Co Inc.
Brafman Lester Raymond
Cohen Daniel G
Pooler Joseph W. Jr.
Listman Douglas
DiMaio Jack
Dawson G Steven
View All

Related Firms	State	AUM ($B)
Cohen & Company Financial Management LLC ✚	NY	1.2
Dekania Capital Management LLC ✚	NY	0.0

Comparable Firms	State	AUM ($B)
BMO Capital Markets Corp ✚	NY	1.2
Metzler-Payden LLC ✚	CA	1.2
Advisorshares Investments LLC ✚	MD	1.2
ILS Advisory Services LLC ✚	TN	1.2
Innocap Investment Advisers LLC ✚	NY	1.2
Lingotto US LLC ✚	NY	1.2
PineBridge Galaxy LLC ✚	NY	1.2
AXS Investments LLC ✚	NY	1.2
Unofficial Management Inc ✚	NY	1.2
Vista Credit BDC Management LP ✚	NY	1.2

Cohen & Company Financial Management LLC

Assets, Funds, Holdings