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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

COWEN ADVISORS LLC

CRD 135564

NEW YORK, NY

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Search this name across graphsid dfx:ria:3cef5af2-c668-de3b-81d7-63591f9da3e7

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 30, 2017
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Cowen Advisors LLC

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $102MItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $102M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 46
Advisory employees: 15
Accounts: 69
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $65.8Mgross asset value as reported per fund; never fund size
Custody, client assets: $53.0M
SEC number: 801-64302
CRD: 135564
Filings on the tape: 13
First filed: Mar 30, 2012
Latest filed: Mar 30, 2017
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NAUTILUS RMBS CDO II, LTD.	Securitized Asset Fund	$13.3M	Oct 19, 2016	3	Mar 30, 2012	reported	n/a
RCG ENDEAVOUR LLC	Hedge Fund	$442,151	Mar 14, 2014	5	Mar 30, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COHEN, PETER, ANTHONY	CHIEF EXECUTIVE OFFICER	Na	yes	01/2016	Mar 30, 2017	Mar 30, 2017
COWEN GROUP, INC.	MANAGING MEMBER	E	yes	06/2014	Mar 30, 2012	Mar 30, 2017
LASOTA, STEPHEN	CHIEF FINANCIAL OFFICER	Na	yes	02/2008	Mar 30, 2012	Mar 30, 2017
SOLOMON, JEFFREY, MARC	President	Na	yes	01/2016	Mar 30, 2017	Mar 30, 2017
LITTMAN, OWEN	GENERAL COUNSEL	Na	no	06/2014	Feb 12, 2015	Mar 30, 2017
SAYAGO, ANDREA, J.S.	CHIEF COMPLIANCE OFFICER	Na	no	09/2011	Mar 30, 2012	Mar 30, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 41

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STARBOARD VALUE LP	n/a	Asset manager	$8.2B	N	yes	n/a
HEALTHCARE ROYALTY MANAGEMENT, LLC	n/a	Asset manager	$3.8B	N	yes	n/a
RAMIUS LLC	n/a	Former SEC adviser	$2.1B	N	yes	n/a
RCG LONGVIEW MANAGEMENT, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
QUADRATIC CAPITAL MANAGEMENT LLC	n/a	Asset manager	$508M	N	yes	n/a
RAMIUS ADVISORS, LLC	n/a	Former SEC adviser	$489M	N	yes	n/a
RCG LONGVIEW EQUITY MANAGEMENT, LLC	n/a	Former SEC adviser	$398M	N	yes	n/a
COWEN PRIME SERVICES LLC	n/a	Former SEC adviser	$359M	N	yes	n/a
CAERUS INVESTORS, LLC	n/a	Former SEC adviser	$218M	N	yes	n/a
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC	n/a	Former SEC adviser	$130M	N	yes	n/a
MARGATE CAPITAL MANAGEMENT, LP	n/a	Former SEC adviser	$117M	N	yes	n/a
RAMIUS TRADING STRATEGIES LLC	n/a	Former SEC adviser	$52.6M	N	yes	n/a
RCG LONGVIEW PARTNERS II, LLC	n/a	Former SEC adviser	$49.4M	N	yes	n/a
ATM EXECUTION LLC	n/a	n/a	n/a	N	yes	n/a
CAERUS INVESTORS GP, LLC	n/a	n/a	n/a	N	yes	n/a
COWEN AND COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
COWEN INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
COWEN PRIVATE INVESTMENTS GP LLC	n/a	n/a	n/a	N	yes	n/a
HCR H.O.P. FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
HCR STAFFORD FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
HCRP MGS ACCOUNT MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
HCRP OVERFLOW FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
HEALTHCARE ROYALTY GP II, LLC	n/a	n/a	n/a	N	yes	n/a
HEALTHCARE ROYALTY GP III, LLC	n/a	n/a	n/a	N	yes	n/a
HEALTHCARE ROYALTY GP, LLC	n/a	n/a	n/a	N	yes	n/a
MARGATE CAPITAL MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
RAMIUS UK LIMITED	n/a	n/a	n/a	N	yes	n/a
RCG FLATS MANAGER LLC	n/a	n/a	n/a	N	yes	n/a
RCG LONGVIEW DEBT FUND IV PA PSERS GP, LLC	n/a	n/a	n/a	N	yes	n/a
RCG LONGVIEW DEBT FUND IV PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
RCG LONGVIEW DEBT FUND V PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
RCG LONGVIEW DEBT FUND VI PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
RCG LONGVIEW EQUITY PARTNERS PA PSERS, LLC	n/a	n/a	n/a	N	yes	n/a
RCG LONGVIEW EQUITY PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
RCG LPP GP, LLC	n/a	n/a	n/a	N	yes	n/a
RCG LPP II GP, LLC	n/a	n/a	n/a	N	yes	n/a
RCG MFI PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
RCG RE MANAGER LLC	n/a	n/a	n/a	N	yes	n/a
STARBOARD VALUE A GP LLC	n/a	n/a	n/a	N	yes	n/a
STARBOARD VALUE A LP	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 30, 2017	$102M	$102M	46	15	n/a	2	$65.8M
2015	Mar 30, 2016	$158M	$158M	30	7	n/a	3	$66.0M
2014	Mar 31, 2015	$120M	$120M	24	1	n/a	2	$47.7M
2013	Mar 14, 2014	$66.0M	$66.0M	24	3	n/a	3	$66.0M
2012	Mar 22, 2013	$107M	$107M	24	3	n/a	3	$107M
2011	Mar 30, 2012	$192M	$4.5M	n/a	n/a	n/a	3	$192M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$102M	$158M	-35.4%	$66.0M	15.7%	46	30	n/a	n/a

Relationships

Affiliated with (18)

← MARGATE CAPITAL MANAGEMENT, LPRegistered adviserother investment adviser, common control
factForm ADV
← RCG LONGVIEWRegistered adviserother investment adviser, common control
factForm ADV
← RAMIUS TRADING STRATEGIES LLCRegistered adviserother investment adviser, common control
factForm ADV
→ RAMIUS ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ COWEN INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ COWEN PRIME ADVISORSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ RAMIUS TRADING STRATEGIES LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ STARBOARD VALUE LPRegistered adviserother investment adviser, bank, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, common control
factForm ADV
→ HEALTHCARE ROYALTY MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ QUADRATIC CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CAERUS INVESTORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MARGATE CAPITAL MANAGEMENT, LPRegistered adviserother investment adviser, bank, common control
factForm ADV
← RAMIUS ASIA LLCRegistered adviserother investment adviser, common control
factForm ADV
← ORCHARD SQUARE PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← SOLOMON, JEFFREY, MARCOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← COHEN, PETER, ANTHONYOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← LASOTA, STEPHENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← COWEN GROUP, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (2)

← LITTMAN, OWENOwnerGENERAL COUNSEL, ownership code NA, individual
Feb 12, 2015 to presentfactForm ADV
← SAYAGO, ANDREA, J.S.OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Advises (2)

→ NAUTILUS RMBS CDO II, LTD.Private fundSecuritized Asset Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ RCG ENDEAVOUR LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 14, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3cef5af2-c668-de3b-81d7-63591f9da3e7
First observed: Mar 30, 2012
Last observed: Mar 30, 2017 115 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

COWEN ADVISORS LLC

CRD 135564

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3cef5af2-c668-de3b-81d7-63591f9da3e7

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:01 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NAUTILUS RMBS CDO II, LTD.

Securitized Asset Fund

$13.3M

Oct 19, 2016

Mar 30, 2012

reported

n/a

RCG ENDEAVOUR LLC

Hedge Fund

$442,151

Mar 14, 2014

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COHEN, PETER, ANTHONY

CHIEF EXECUTIVE OFFICER

yes

01/2016

Mar 30, 2017

COWEN GROUP, INC.

MANAGING MEMBER

yes

06/2014

Mar 30, 2012

Mar 30, 2017

LASOTA, STEPHEN

CHIEF FINANCIAL OFFICER

yes

02/2008

Mar 30, 2012

Mar 30, 2017

SOLOMON, JEFFREY, MARC

President

yes

01/2016

Mar 30, 2017

LITTMAN, OWEN

GENERAL COUNSEL

06/2014

Feb 12, 2015

Mar 30, 2017

SAYAGO, ANDREA, J.S.

CHIEF COMPLIANCE OFFICER

09/2011

Mar 30, 2012

Mar 30, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STARBOARD VALUE LP

n/a

Asset manager

$8.2B

yes

n/a

HEALTHCARE ROYALTY MANAGEMENT, LLC

n/a

Asset manager

$3.8B

yes

n/a

RAMIUS LLC

n/a

Former SEC adviser

$2.1B

yes

n/a

RCG LONGVIEW MANAGEMENT, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

QUADRATIC CAPITAL MANAGEMENT LLC

n/a

Asset manager

$508M

yes

n/a

RAMIUS ADVISORS, LLC

n/a

Former SEC adviser

$489M

yes

n/a

RCG LONGVIEW EQUITY MANAGEMENT, LLC

n/a

Former SEC adviser

$398M

yes

n/a

COWEN PRIME SERVICES LLC

n/a

Former SEC adviser

$359M

yes

n/a

CAERUS INVESTORS, LLC

n/a

Former SEC adviser

$218M

yes

n/a

RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC

n/a

Former SEC adviser

$130M

yes

n/a

MARGATE CAPITAL MANAGEMENT, LP

n/a

Former SEC adviser

$117M

yes

n/a

RAMIUS TRADING STRATEGIES LLC

n/a

Former SEC adviser

$52.6M

yes

n/a

RCG LONGVIEW PARTNERS II, LLC

n/a

Former SEC adviser

$49.4M

yes

n/a

ATM EXECUTION LLC

n/a

yes

n/a

CAERUS INVESTORS GP, LLC

n/a

yes

n/a

COWEN AND COMPANY, LLC

n/a

yes

n/a

COWEN INTERNATIONAL LIMITED

n/a

yes

n/a

COWEN PRIVATE INVESTMENTS GP LLC

n/a

yes

n/a

HCR H.O.P. FUND GP, LLC

n/a

yes

n/a

HCR STAFFORD FUND GP LLC

n/a

yes

n/a

HCRP MGS ACCOUNT MANAGEMENT, LLC

n/a

yes

n/a

HCRP OVERFLOW FUND GP, LLC

n/a

yes

n/a

HEALTHCARE ROYALTY GP II, LLC

n/a

yes

n/a

HEALTHCARE ROYALTY GP III, LLC

n/a

yes

n/a

HEALTHCARE ROYALTY GP, LLC

n/a

yes

n/a

MARGATE CAPITAL MANAGEMENT, LLC

n/a

yes

n/a

RAMIUS UK LIMITED

n/a

yes

n/a

RCG FLATS MANAGER LLC

n/a

yes

n/a

RCG LONGVIEW DEBT FUND IV PA PSERS GP, LLC

n/a

yes

n/a

RCG LONGVIEW DEBT FUND IV PARTNERS LLC

n/a

yes

n/a

RCG LONGVIEW DEBT FUND V PARTNERS, LLC

n/a

yes

n/a

RCG LONGVIEW DEBT FUND VI PARTNERS, LLC

n/a

yes

n/a

RCG LONGVIEW EQUITY PARTNERS PA PSERS, LLC

n/a

yes

n/a

RCG LONGVIEW EQUITY PARTNERS, LLC

n/a

yes

n/a

RCG LPP GP, LLC

n/a

yes

n/a

RCG LPP II GP, LLC

n/a

yes

n/a

RCG MFI PARTNERS LLC

n/a

yes

n/a

RCG RE MANAGER LLC

n/a

yes

n/a

STARBOARD VALUE A GP LLC

n/a

yes

n/a

STARBOARD VALUE A LP

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$102M

n/a

$65.8M

2015

Mar 30, 2016

$158M

n/a

$66.0M

2014

Mar 31, 2015

$120M

n/a

$47.7M

2013

Mar 14, 2014

$66.0M

n/a

$66.0M

2012

Mar 22, 2013

$107M

n/a

$107M

2011

Mar 30, 2012

$192M

$4.5M

n/a

$192M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$102M

$158M

-35.4%

$66.0M

15.7%

n/a