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| Happy Holidays!! thanks for using AUM13F!! |
| Cohen & Company Financial Management LLC
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| 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) |
|---|
| 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 |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 16 | 1.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 1 | 0.2 |
| Total | 17 | 1.2 |
| By Discretionary | ||
| Discretionary | 16 | 1.0 |
| Non-Discretionary | 1 | 0.2 |
| Total | 17 | 1.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 1.0 | |
| United States Persons | 0.2 | |
| Total | 17 | 1.2 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Cohen & Company Financial Management LLC | 45 | ||
| ASJC Global Management LLC | 19 | ||
| Vellar Opportunities GP LLC | 8 | ||
| Vellar Special Opportunities GP LLC | 17 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 10-K | [0001270436] | |
| 10-Q | [0001270436] | |
| 3 | [0001270436] | |
| 4 | [0001270436] | |
| 5 | [0001270436] | |
| 8-K | [0001270436] | |
| SC 13D | [0001270436] | |
| 3 | [0001510279] | |
| 4 | [0001510279] | |
| D | [0001510279] | |
| 13F-HR | [0001778536] |
| Related Firms | State | AUM ($B) |
|---|---|---|
|
Cohen & Company Financial Management LLC
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|
NY | 1.2 |
|
Dekania Capital Management LLC
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|
NY | 0.0 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
BMO Capital Markets Corp
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|
NY | 1.2 |
|
Metzler-Payden LLC
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|
CA | 1.2 |
|
Advisorshares Investments LLC
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|
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
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|
NY | 1.2 |
|
Unofficial Management Inc
✚
|
NY | 1.2 |
|
Vista Credit BDC Management LP
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|
NY | 1.2 |