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| Happy Holidays!! thanks for using AUM13F!! |
| Warberg Asset Management LLC
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| CRD # | 164003 |
| SEC # | 801-76808 |
| CIK # | 0001597506 |
| AUM | $862.5 M (2025-03-24) |
| Employees | 10 (70% Investors, 0% Brokers) |
| Phone | 847-418-8305 |
| Address | 716 Oak Street Winnetka, IL 60093 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| HF | Warberg WF XII LP | 2025-03-24 | 50.8 | |
| HF | Warberg WF Xi LP | 2024-03-28 | 56.1 | |
| HF | Warberg WF X LP | 2023-03-29 | 61.6 | |
| HF | Warberg WF IX LP | 2022-03-31 | 58.1 | |
| HF | Warberg SPAC Fund LP | 2021-03-30 | 23.0 | |
| HF | Warberg Special Situations Fund LP | 2021-03-30 | 11.3 | |
| HF | Warberg WF VIII LP | 2021-03-30 | 42.7 | |
| HF | Warberg WF VII LP | 2020-03-27 | 37.0 | |
| HF | Warberg WF VI LP | [2019-03-27] | 14.3 | 37.8 |
| HF | Warberg WF V LP | 2017-03-31 | 15.0 | |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| 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 | 764.0 |
| (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 | 4 | 98.5 |
| (n) Other | 0 | 0.0 |
| Total | 22 | 862.5 |
| By Discretionary | ||
| Discretionary | 20 | 849.2 |
| Non-Discretionary | 2 | 13.3 |
| Total | 22 | 862.5 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 862.5 | |
| Total | 22 | 862.5 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Daniel Warsh | 17 | ||
| Jonathan Blumberg | 17 | ||
| Warberg Asset Management LLC | 17 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001597506] | |
| SC 13G | [0001597506] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Warberg Asset Management LLC | Rosehill Resources Inc | [2018-02-14] |
| Warberg Asset Management LLC | PTGI Holding Inc | [2014-02-14] |
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