Cowen Investment Management LLC

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Assets, Funds, Holdings

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Cowen Investment Management LLC
CRD #151953
SEC #801-70868
CIK #0001066036, 0001657385, 0000048966, 0001466538, 0001652211, 0001475770
AUM $962.7 MM (100% Disc, 29% US, 2020-03-30)
Employees 74 (28% Investors, 12% Brokers)
Phone646-562-1010
Address599 Lexington Avenue
New York, NY 10022
Source [IAPD] [EDGAR] [Website] [LinkedIn]
Total AUM ($MM)
100080060040020002009201320172021
Sector Form 13F Holdings Cap ($MM) Value ($MM)
SMFG 45,550.0 35.8
ALEC 20.0
FCAU 28,340.0 13.3
MCD 136,890.0 11.4
PTON 9.0
CUB 1,470.0 5.5
MESO 437.5 5.2
RMG 5.0
GHIV 4.8
KLR 4.7
View All
Holdings by Sector ($MM)
90072054036018002011201420172021
Type Form D Funds Date Sold ($MM) AUM ($MM)
PE Cowen Sustainable Investments I LP [2020-03-30] 70.7 71.0
PE Cowen Sustainable Investments Offshore I LP [2020-03-30] 133.0 140.2
PE CSI I Master Fund B LP 2020-03-30 0.0
PE CSI I Master Fund C LP 2020-03-30 0.0
PE CSI I Master Fund LP 2020-03-30 0.0
PE TriArtisan PFC Partners LLC [2020-03-30] 37.2 43.4
PE TriArtisan TGIF Partners LLC 2020-03-30 9.1
PE TriArtisan ES Partners LLC [2019-04-01] 123.4 131.0
PE TriArtisan Orlando Partners LLC [2018-03-30] 17.2 18.1
PE MJTA Associates III TGIF LLC 2015-03-11 3.2
View All
Limited Partners2011 - 2021
Baltimore County Fire and Police Employees' Retirement System
Fresno County Employee Retirement Association
Kansas Public Employees Retirement System
Minnesota State Board of Investment
New York City Board of Education Retirement System
New York City Employees' Retirement System
New York State and Local Retirement System
Ohio Police & Firefighters
Orange County Employee Retirement System
South Carolina Public Employees Benefit Authority
State Teachers Retirement System of Ohio
Teachers' Retirement Security for Illinois Educators
Virginia Retirement System
Form D Directors # Filings # Firms 2011 - 2021
CSI GP I LLC 3
Ewa Kozicz 3
Vusal Najafov 3
Rohit Manocha 3
Gerald Cromack 3
Cowen Sustainable Advisors LLC 2
EDGAR Form CIK 2011 - 2021
13F-HR [0000048966]
4 [0000048966]
SC 13G [0000048966]
13F-NT [0001066036]
10-K [0001466538]
10-Q [0001466538]
13F-HR [0001466538]
3 [0001466538]
4 [0001466538]
5 [0001466538]
8-K [0001466538]
D [0001466538]
SC 13D [0001466538]
SC 13G [0001466538]
13F-HR [0001475770]
13F-NT [0001475770]
D [0001652211]
3 [0001657385]
4 [0001657385]
SC 13D [0001657385]
Form 13D/13G Filer Form 13D/13G Subject Filed
Vanguard Group Inc Cowen Inc [2020-02-11]
Philadelphia Financial Management of San Francisco LLC Cowen Inc [2019-02-12]
Bank of New York Mellon Corp Cowen Inc [2019-02-04]
Cowen and Company LLC Yogaworks Inc [2018-02-14]
FMR LLC Cowen Inc [2018-02-13]
Zazove Associates LLC Cowen Inc [2018-02-08]
Convergex Holdings LLC Cowen Inc [2017-06-12]
Arbiter Partners Capital Management LLC Cowen Group Inc [2017-05-11]
RMB Capital Management LLC Cowen Group Inc [2017-02-13]
Zazove Associates LLC Cowen Group Inc [2017-02-10]
View All
Form 3/4/5 Subject 2011-2021
Solomon Jeffrey M
Holmes John J
Lasota Stephen
Littman Owen S
Leibowitz Lawrence E
Nusbaum Jack H
Poster Margaret L
Rediker Douglas
Barth Brett H
Dietze Katherine Elizabeth
View All
Related Firms State AUM ($BB)
Cowen Investment Management LLC
NY 1.0
Cowen Investment Advisors LLC
NY 0.9
Cowen Prime Services LLC
NY 0.3
Comparable Firms State AUM ($BB)
Tree Line Capital Partners LLC
CA 1.0
Axar Capital Management LP
NY 1.0
Corre Partners Management LLC
NY 1.0
Altum Capital Management LLC
NY 1.0
Venor Capital Management LP
NY 0.9
Suntx Capital Management Corp
TX 0.9
Cowen Investment Advisors LLC
NY 0.9
Pura Vida Investments LLC
NY 0.9
LGK Advisors LP
NY 0.9
Newmarket Investment Management LP
PA 0.9
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