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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

WARBERG ASSET MANAGEMENT LLC

CRD 164003

WINNETKA, IL

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Search this name across graphsid dfx:ria:58360f8e-1db3-7c8b-070c-469c7f64ac78

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 0
Observed: Jun 12, 2012 to Mar 31, 2026
26 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.9 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $806MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $800M
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: 10
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 22
Private funds: 5Schedule D 7.B(1)
Custody, client assets: $806M
SEC number: 801-76808
CRD: 164003
Filings on the tape: 26
First filed: Jun 12, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE

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
WARBERG CA FUND LP	Hedge Fund	$574M	Mar 28, 2024	78	Mar 29, 2016	reported	n/a
WARBERG WF X, LP	Hedge Fund	$61.6M	Mar 28, 2024	48	Mar 29, 2023	reported	n/a
WARBERG WF IX LP	Hedge Fund	$58.1M	Mar 29, 2023	36	Mar 31, 2022	reported	n/a
WARBERG WF XI LP	Hedge Fund	$55.0M	Mar 28, 2024	43	Mar 28, 2024	reported	n/a
WARBERG WF VIII LP	Hedge Fund	$42.7M	Jun 14, 2022	39	Mar 30, 2021	dropped	n/a
WARBERG WF IV LP	Hedge Fund	$40.2M	Mar 26, 2018	19	Mar 29, 2016	dropped	n/a
WARBERG WF VI LP	Hedge Fund	$37.8M	Mar 27, 2020	24	Mar 27, 2019	dropped	021-307767
WARBERG WF VII LP	Hedge Fund	$37.0M	May 11, 2021	33	Mar 27, 2020	dropped	n/a
WARBERG SPAC FUND LP	Hedge Fund	$22.8M	Mar 28, 2024	18	Mar 30, 2021	reported	n/a
WARBERG WF V LP	Hedge Fund	$15.0M	Mar 27, 2019	24	Mar 31, 2017	dropped	n/a
WARBERG SPECIAL SITUATIONS FUND LP	Hedge Fund	$10.6M	Mar 28, 2024	10	Mar 30, 2021	reported	n/a
WARBERG WF III LP	Hedge Fund	$8.5M	Mar 31, 2017	20	Aug 28, 2014	dropped	n/a
WARBERG ARBITRAGE, LP	Hedge Fund	$7.7M	Jul 22, 2016	34	Mar 27, 2015	dropped	n/a
WARBERG WF II LP	Hedge Fund	$7.3M	Mar 27, 2015	15	Mar 27, 2013	dropped	021-193545
WARBERG WF I LP	Hedge Fund	$3.4M	Aug 28, 2014	12	Jun 12, 2012	dropped	021-128269
WARBERG OPPORTUNISTIC TRADING FUND LP	Hedge Fund	$47,215	Mar 27, 2020	29	Jun 12, 2012	dropped	021-128269

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
BLUMBERG, JONATHAN, ALAN	MANAGING MEMBER	C	yes	02/2009	Jun 12, 2012	Mar 28, 2024
LANCASTER, TRACY, LEE	CCO/CFO	Na	yes	03/2018	Mar 26, 2018	Mar 28, 2024
WARSH, DANIEL, IRWIN	MANAGING MEMBER	D	yes	02/2009	Jun 12, 2012	Mar 28, 2024
GRAD, BRIAN, REEVES	Owner	A	no	01/2022	Mar 31, 2022	Mar 28, 2024

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
2025	Mar 31, 2026	$806M	$800M	10	7	0	5	n/a
2024	Mar 24, 2025	$862M	$849M	10	7	0	5	n/a
2023	Mar 28, 2024	$827M	$810M	9	6	0	5	$724M
2022	Mar 29, 2023	$828M	$809M	8	5	0	5	$683M
2021	Mar 31, 2022	$818M	$815M	7	5	0	5	$691M
2020	Mar 30, 2021	$824M	$824M	5	4	0	5	$822M
2019	Mar 27, 2020	$412M	$412M	5	4	0	4	$404M
2018	Mar 27, 2019	$209M	$209M	5	4	0	4	$202M
2017	Mar 26, 2018	$361M	$361M	4	3	0	4	$334M
2016	Mar 31, 2017	$201M	$201M	4	3	n/a	5	$172M
2015	Mar 29, 2016	$50.7M	$50.7M	4	3	n/a	5	$23.5M
2014	Mar 27, 2015	$66.0M	$66.0M	5	5	n/a	4	$29.5M
2013	Mar 28, 2014	$68.0M	$68.0M	4	4	n/a	3	$21.6M
2012	Mar 27, 2013	$78.8M	$78.8M	4	4	n/a	3	$22.4M

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
2025	$806M	$862M	-6.6%	$828M	-0.9%	10	10	0	0

Relationships

Advises (16)

→ WARBERG WF X, LPPrivate fundHedge Fund, IA
Mar 29, 2023 to presentfactForm ADV
→ WARBERG SPAC FUND LPPrivate fundHedge Fund, IA
Mar 30, 2021 to presentfactForm ADV
→ WARBERG CA FUND LPPrivate fundHedge Fund, IA
Mar 29, 2016 to presentfactForm ADV
→ WARBERG SPECIAL SITUATIONS FUND LPPrivate fundHedge Fund, IA
Mar 30, 2021 to presentfactForm ADV
→ WARBERG WF XI LPPrivate fundHedge Fund, IA
Mar 28, 2024 to presentfactForm ADV
→ WARBERG WF IX LPPrivate fundHedge Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ WARBERG WF VIII LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2021 to Jun 14, 2022factForm ADV
→ WARBERG WF VII LPPrivate fundHedge Fund, IA, no longer reported
Mar 27, 2020 to May 11, 2021factForm ADV
→ WARBERG WF VI LPPrivate fundHedge Fund, IA, no longer reported
Mar 27, 2019 to Mar 27, 2020factForm ADV
→ WARBERG OPPORTUNISTIC TRADING FUND LPPrivate fundHedge Fund, IA, no longer reported
Jun 12, 2012 to Mar 27, 2020factForm ADV
→ WARBERG WF V LPPrivate fundHedge Fund, IA, no longer reported
Mar 31, 2017 to Mar 27, 2019factForm ADV
→ WARBERG WF IV LPPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2016 to Mar 26, 2018factForm ADV
→ WARBERG WF III LPPrivate fundHedge Fund, IA, no longer reported
Aug 28, 2014 to Mar 31, 2017factForm ADV
→ WARBERG ARBITRAGE, LPPrivate fundHedge Fund, IA, no longer reported
Mar 27, 2015 to Jul 22, 2016factForm ADV
→ WARBERG WF II LPPrivate fundHedge Fund, IA, no longer reported
Mar 27, 2013 to Mar 27, 2015factForm ADV
→ WARBERG WF I LPPrivate fundHedge Fund, IA, no longer reported
Jun 12, 2012 to Aug 28, 2014factForm ADV

Controls (3)

← WARSH, DANIEL, IRWINOwnerMANAGING MEMBER, ownership code D, individual
Jun 12, 2012 to Mar 28, 2024factForm ADV
← LANCASTER, TRACY, LEEOwnerCCO/CFO, ownership code NA, individual
Mar 26, 2018 to Mar 28, 2024factForm ADV
← BLUMBERG, JONATHAN, ALANOwnerMANAGING MEMBER, ownership code C, individual
Jun 12, 2012 to Mar 28, 2024factForm ADV

Owns (1)

← GRAD, BRIAN, REEVESOwnerOWNER, ownership code A, individual
Mar 31, 2022 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 30, 2021
Regulatory AUM changed
Warberg Asset Management Llc reported RAUM $824.1M, up 100% from $411.8M (2020-03-27 to 2021-03-30)
Form ADVobserved 5 days ago
$412M
Occurred
Mar 27, 2020
Regulatory AUM changed
Warberg Asset Management Llc reported RAUM $411.8M, up 97% from $208.5M (2019-03-27 to 2020-03-27)
Form ADVobserved 5 days ago
$203M
Occurred
Mar 27, 2019
Regulatory AUM changed
Warberg Asset Management Llc reported RAUM $208.5M, down 42% from $361.1M (2018-03-26 to 2019-03-27)
Form ADVobserved 5 days ago
$-153M
Occurred
Mar 26, 2018
Regulatory AUM changed
Warberg Asset Management Llc reported RAUM $361.1M, up 80% from $200.7M (2017-03-31 to 2018-03-26)
Form ADVobserved 5 days ago
$160M
Occurred
Jun 12, 2012
First Form ADV filing
Warberg Asset Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58360f8e-1db3-7c8b-070c-469c7f64ac78
First observed: Jun 12, 2012
Last observed: Mar 31, 2026 5 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.

WARBERG ASSET MANAGEMENT LLC

CRD 164003

WINNETKA, IL

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:58360f8e-1db3-7c8b-070c-469c7f64ac78

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:28 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WARBERG CA FUND LP

Hedge Fund

$574M

Mar 28, 2024

Mar 29, 2016

reported

n/a

WARBERG WF X, LP

Hedge Fund

$61.6M

Mar 28, 2024

Mar 29, 2023

reported

n/a

WARBERG WF IX LP

Hedge Fund

$58.1M

Mar 29, 2023

Mar 31, 2022

reported

n/a

WARBERG WF XI LP

Hedge Fund

$55.0M

Mar 28, 2024

reported

n/a

WARBERG WF VIII LP

Hedge Fund

$42.7M

Jun 14, 2022

Mar 30, 2021

dropped

n/a

WARBERG WF IV LP

Hedge Fund

$40.2M

Mar 26, 2018

Mar 29, 2016

dropped

n/a

WARBERG WF VI LP

Hedge Fund

$37.8M

Mar 27, 2020

Mar 27, 2019

dropped

021-307767

WARBERG WF VII LP

Hedge Fund

$37.0M

May 11, 2021

Mar 27, 2020

dropped

n/a

WARBERG SPAC FUND LP

Hedge Fund

$22.8M

Mar 28, 2024

Mar 30, 2021

reported

n/a

WARBERG WF V LP

Hedge Fund

$15.0M

Mar 27, 2019

Mar 31, 2017

dropped

n/a

WARBERG SPECIAL SITUATIONS FUND LP

Hedge Fund

$10.6M

Mar 28, 2024

Mar 30, 2021

reported

n/a

WARBERG WF III LP

Hedge Fund

$8.5M

Mar 31, 2017

Aug 28, 2014

dropped

n/a

WARBERG ARBITRAGE, LP

Hedge Fund

$7.7M

Jul 22, 2016

Mar 27, 2015

dropped

n/a

WARBERG WF II LP

Hedge Fund

$7.3M

Mar 27, 2015

Mar 27, 2013

dropped

021-193545

WARBERG WF I LP

Hedge Fund

$3.4M

Aug 28, 2014

Jun 12, 2012

dropped

021-128269

WARBERG OPPORTUNISTIC TRADING FUND LP

Hedge Fund

$47,215

Mar 27, 2020

Jun 12, 2012

dropped

021-128269

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLUMBERG, JONATHAN, ALAN

MANAGING MEMBER

yes

02/2009

Jun 12, 2012

Mar 28, 2024

LANCASTER, TRACY, LEE

CCO/CFO

yes

03/2018

Mar 26, 2018

Mar 28, 2024

WARSH, DANIEL, IRWIN

MANAGING MEMBER

yes

02/2009

Jun 12, 2012

Mar 28, 2024

GRAD, BRIAN, REEVES

Owner

01/2022

Mar 31, 2022

Mar 28, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$806M

$800M

n/a

2024

Mar 24, 2025

$862M

$849M

n/a

2023

Mar 28, 2024

$827M

$810M

$724M

2022

Mar 29, 2023

$828M

$809M

$683M

2021

Mar 31, 2022

$818M

$815M

$691M

2020

Mar 30, 2021

$824M

$822M

2019

Mar 27, 2020

$412M

$404M

2018

Mar 27, 2019

$209M

$202M

2017

Mar 26, 2018

$361M

$334M

2016

Mar 31, 2017

$201M

n/a

$172M

2015

Mar 29, 2016

$50.7M

n/a

$23.5M

2014

Mar 27, 2015

$66.0M

n/a

$29.5M

2013

Mar 28, 2014

$68.0M

n/a

$21.6M

2012

Mar 27, 2013

$78.8M

n/a

$22.4M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$806M

$862M

-6.6%

$828M

-0.9%