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

COWEN PRIME ADVISORS

COWEN PRIME SERVICES LLC, CRD 153397

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:b58f049f-28e2-c97e-1260-66a8c24b3422

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 1
Observed: Jan 17, 2012 to Mar 26, 2021
24 observations

Across DFX

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

Private Equityidentity

Concept Asset Management

Intermediary · 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: $359MItem 5.F on the latest filing (2021-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $359M
Private client RAUM: $359MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 200
High net worth clients: 62
SEC number: 801-72184
CRD: 153397
Filings on the tape: 24
First filed: Jan 17, 2012
Latest filed: Mar 26, 2021
Organised: Limited Liability Company, Delaware

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
CHARNEY, DANIEL S	Ceo	Na	yes	09/2015	Sep 17, 2015	Mar 26, 2021
COWEN INC.	ULTIMATE PARENT	E	yes	09/2015	Mar 8, 2018	Mar 26, 2021
COWEN PB HOLDINGS LLC	DIRECT PARENT, MEMBER, OWNER	E	yes	09/2015	Sep 17, 2015	Mar 26, 2021
HOLMES, JOHN	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	Na	yes	09/2015	Sep 17, 2015	Mar 26, 2021
POPPELL, RALPH EDWARD	CHIEF COMPLIANCE OFFICER	Na	yes	03/2010	Jan 17, 2012	Mar 26, 2021
JORDAN, FRANCIS	PRINCIPAL FINANCIAL OFFICER	Na	no	03/2019	Apr 2, 2019	Mar 26, 2021

Affiliates (Item 7.A)

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

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HEALTHCARE ROYALTY MANAGEMENT, LLC	n/a	Asset manager	$3.8B	N	yes	n/a
COWEN INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$2.1B	N	yes	n/a
CHI ADVISORS LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
COWEN INVESTMENT 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 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
COWEN AND COMPANY (ASIA) LIMITED	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 EXECUTION SERVICES LIMITED	n/a	n/a	n/a	N	yes	n/a
COWEN FINANCIAL PRODUCTS LLC	n/a	n/a	n/a	N	yes	n/a
COWEN HEALTHCARE INVESTMENTS II GP LLC	n/a	n/a	n/a	N	yes	n/a
COWEN HEALTHCARE INVESTMENTS III GP 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
COWEN PRIVATE INVESTMENTS II GP LLC	n/a	n/a	n/a	N	yes	n/a
COWEN SUSTAINABLE ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
CSI GP I LLC	n/a	n/a	n/a	N	yes	n/a
HCR CANARY FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
HCR COLLATERAL MANAGEMENT, 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 MOLAG FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
HCR POTOMAC 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 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 IV, 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
QUARTON INTERNATIONAL AG	n/a	n/a	n/a	N	yes	n/a
RCG RE MANAGER LLC	n/a	n/a	n/a	N	yes	n/a
TRIARTISAN CAPITAL ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
TRIARTISAN ES MM LLC	n/a	n/a	n/a	N	yes	n/a
TRIARTISAN ORLANDO MM LLC	n/a	n/a	n/a	N	yes	n/a
WESTMINSTER RESEARCH ASSOCIATES LLC	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	5	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
2020	Mar 26, 2021	$359M	$359M	4	4	1	n/a	n/a
2019	Apr 6, 2020	$306M	$306M	5	5	1	n/a	n/a
2018	Mar 18, 2019	$255M	$255M	5	5	1	n/a	n/a
2017	Mar 8, 2018	$286M	$286M	5	5	1	n/a	n/a
2016	Mar 24, 2017	$299M	$299M	5	5	n/a	n/a	n/a
2015	Mar 23, 2016	$286M	$286M	5	5	n/a	n/a	n/a
2014	Mar 26, 2015	$352M	$352M	11	8	n/a	n/a	n/a
2013	Mar 10, 2014	$357M	$357M	12	8	n/a	n/a	n/a
2012	Mar 15, 2013	$265M	$265M	12	8	n/a	n/a	n/a
2011	Mar 30, 2012	$230M	$230M	n/a	n/a	n/a	n/a	n/a

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
2020	$359M	$306M	17.3%	$286M	7.9%	4	5	1	1

Relationships

Affiliated with (13)

→ 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
→ RAMIUS TRADING STRATEGIES LLCRegistered adviserother investment adviser, 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
→ HEALTHCARE ROYALTY MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CHI ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← MARGATE CAPITAL MANAGEMENT, LPRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← RCG LONGVIEWRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← RCG LONGVIEWRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← RCG LONGVIEWRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← RAMIUS TRADING STRATEGIES LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← COWEN ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (5)

← HOLMES, JOHNOwnerCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER, ownership code NA, individual
Sep 17, 2015 to presentfactForm ADV
← POPPELL, RALPH EDWARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 17, 2012 to presentfactForm ADV
← CHARNEY, DANIEL SOwnerCEO, ownership code NA, individual
Sep 17, 2015 to presentfactForm ADV
← COWEN INC.OwnerULTIMATE PARENT, ownership code E, domestic entity
Mar 8, 2018 to presentfactForm ADV
← COWEN PB HOLDINGS LLCOwnerDIRECT PARENT, MEMBER, OWNER, ownership code E, domestic entity
Sep 17, 2015 to presentfactForm ADV

Owns (1)

← JORDAN, FRANCISOwnerPRINCIPAL FINANCIAL OFFICER, ownership code NA, individual
Apr 2, 2019 to presentfactForm ADV

Registered with (4)

← PAUL ERIC HENNEMANAdvisorregistration: previous registration
Dec 2, 2013 to Oct 17, 2014factForm ADV
← STEPHANIE F MACKARAAdvisorregistration: previous registration
Aug 14, 2013 to Jan 17, 2014factForm ADV
← JEFFREY MILTON BERNSTEINAdvisorregistration: previous registration
Jan 29, 2018 to Mar 14, 2011factForm ADV
← IRWIN WARREN SILVERBERGAdvisorregistration: previous registration
Feb 13, 2018 to Mar 14, 2011factForm ADV

Dated events

Occurred
Apr 2, 2019
Control person left
James Robert Simmons (Principal Financial Officer) no longer on Schedule A of Cowen Prime Advisors (listed 2019-03-18, absent 2019-04-02)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b58f049f-28e2-c97e-1260-66a8c24b3422
First observed: Jan 17, 2012
Last observed: Mar 26, 2021 66 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 PRIME ADVISORS

COWEN PRIME SERVICES LLC, CRD 153397

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:b58f049f-28e2-c97e-1260-66a8c24b3422

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHARNEY, DANIEL S

Ceo

yes

09/2015

Sep 17, 2015

Mar 26, 2021

COWEN INC.

ULTIMATE PARENT

yes

09/2015

Mar 8, 2018

Mar 26, 2021

COWEN PB HOLDINGS LLC

DIRECT PARENT, MEMBER, OWNER

yes

09/2015

Sep 17, 2015

Mar 26, 2021

HOLMES, JOHN

CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER

yes

09/2015

Sep 17, 2015

Mar 26, 2021

POPPELL, RALPH EDWARD

CHIEF COMPLIANCE OFFICER

yes

03/2010

Jan 17, 2012

Mar 26, 2021

JORDAN, FRANCIS

PRINCIPAL FINANCIAL OFFICER

03/2019

Apr 2, 2019

Mar 26, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HEALTHCARE ROYALTY MANAGEMENT, LLC

n/a

Asset manager

$3.8B

yes

n/a

COWEN INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$2.1B

yes

n/a

CHI ADVISORS LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

COWEN INVESTMENT 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 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

COWEN AND COMPANY (ASIA) LIMITED

n/a

yes

n/a

COWEN AND COMPANY, LLC

n/a

yes

n/a

COWEN EXECUTION SERVICES LIMITED

n/a

yes

n/a

COWEN FINANCIAL PRODUCTS LLC

n/a

yes

n/a

COWEN HEALTHCARE INVESTMENTS II GP LLC

n/a

yes

n/a

COWEN HEALTHCARE INVESTMENTS III GP LLC

n/a

yes

n/a

COWEN INTERNATIONAL LIMITED

n/a

yes

n/a

COWEN PRIVATE INVESTMENTS GP LLC

n/a

yes

n/a

COWEN PRIVATE INVESTMENTS II GP LLC

n/a

yes

n/a

COWEN SUSTAINABLE ADVISORS LLC

n/a

yes

n/a

CSI GP I LLC

n/a

yes

n/a

HCR CANARY FUND GP, LLC

n/a

yes

n/a

HCR COLLATERAL MANAGEMENT, LLC

n/a

yes

n/a

HCR H.O.P. FUND GP, LLC

n/a

yes

n/a

HCR MOLAG FUND GP, LLC

n/a

yes

n/a

HCR POTOMAC FUND GP, LLC

n/a

yes

n/a

HCR STAFFORD FUND GP, 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 IV, LLC

n/a

yes

n/a

HEALTHCARE ROYALTY GP, LLC

n/a

yes

n/a

QUARTON INTERNATIONAL AG

n/a

yes

n/a

RCG RE MANAGER LLC

n/a

yes

n/a

TRIARTISAN CAPITAL ADVISORS LLC

n/a

yes

n/a

TRIARTISAN ES MM LLC

n/a

yes

n/a

TRIARTISAN ORLANDO MM LLC

n/a

yes

n/a

WESTMINSTER RESEARCH ASSOCIATES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 26, 2021

$359M

n/a

2019

Apr 6, 2020

$306M

n/a

2018

Mar 18, 2019

$255M

n/a

2017

Mar 8, 2018

$286M

n/a

2016

Mar 24, 2017

$299M

n/a

2015

Mar 23, 2016

$286M

n/a

2014

Mar 26, 2015

$352M

n/a

2013

Mar 10, 2014

$357M

n/a

2012

Mar 15, 2013

$265M

n/a

2011

Mar 30, 2012

$230M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$359M

$306M

17.3%

$286M

7.9%