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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RAMIUS ASIA LLC

CRD 137358

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:d8159635-60b6-4caa-2b89-efc6460d58ae

Data as of Mar 13, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 13, 2014
5 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $27.6MItem 5.F on the latest filing (2014-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $27.6M
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: 27
Advisory employees: 4
Accounts: 2
Custody, client assets: $27.6M
SEC number: 801-65655
CRD: 137358
Filings on the tape: 5
First filed: Mar 28, 2012
Latest filed: Mar 13, 2014
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
BENWITT, MICHAEL, G	GENERAL COUNSEL	Na	yes	01/2012	Mar 28, 2012	Mar 13, 2014
COWEN GROUP, INC.	Parent	E	yes	11/2009	Mar 28, 2012	Mar 13, 2014
RAMIUS LLC	MANAGING MEMBER	E	yes	11/2009	Mar 28, 2012	Mar 13, 2014
SINGER, MICHAEL, EVAN	CHIEF EXECUTIVE OFFICER	Na	yes	12/2012	Mar 22, 2013	Mar 13, 2014
STRAUSS, THOMAS, WOLFF	Chairman	Na	yes	12/2012	Mar 28, 2012	Mar 13, 2014
LASOTA, STEPHEN	CHIEF FINANCIAL OFFICER	Na	no	02/2008	Mar 28, 2012	Mar 13, 2014
SAYAGO, ANDREA, J.S.	CHIEF COMPLIANCE OFFICER	Na	no	09/2011	Mar 28, 2012	Mar 13, 2014

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
STARBOARD VALUE LP	n/a	Asset manager	$8.2B	N	yes	n/a
RAMIUS LLC	n/a	Former SEC adviser	$2.1B	Y	yes	n/a
ORCHARD SQUARE PARTNERS, LLC	n/a	Former SEC adviser	$1.9B	N	yes	n/a
RAMIUS ALTERNATIVE SOLUTIONS LLC	n/a	Institutional manager	$1.4B	N	yes	n/a
RCG LONGVIEW MANAGEMENT, LLC	n/a	Former SEC adviser	$1.1B	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
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC	n/a	Former SEC adviser	$130M	N	yes	n/a
RAMIUS STRUCTURED CREDIT GROUP LLC	n/a	Former SEC adviser	$102M	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
ATM USA, 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 EQUITY FINANCE LP	n/a	n/a	n/a	N	yes	n/a
COWEN INTERNATIONAL LIMITED	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
HEALTHCARE ROYALTY MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
ORCHARD SQUARE PARTNERS GP, LLC	n/a	n/a	n/a	N	yes	n/a
RAMIUS TRADING STRATEGIES GP 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
VANDERBILT ACCOUNT MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a

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
2013	Mar 13, 2014	$27.6M	$27.6M	27	4	n/a	n/a	n/a
2012	Mar 22, 2013	$78.1M	$78.1M	27	4	n/a	n/a	n/a
2011	Mar 28, 2012	$82.2M	$82.2M	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
2013	$27.6M	$78.1M	-64.7%	n/a	n/a	27	27	n/a	n/a

Relationships

Affiliated with (12)

→ RAMIUS ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ AB CUSTOM ALTERNATIVE SOLUTIONS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ COWEN ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ COWEN INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, 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, pooled vehicle sponsor, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, common control
factForm ADV
→ RCG LONGVIEWRegistered adviserother investment adviser, common control
factForm ADV
→ ORCHARD SQUARE PARTNERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← ORCHARD SQUARE PARTNERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (5)

← RAMIUS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← SINGER, MICHAEL, EVANOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 22, 2013 to presentfactForm ADV
← STRAUSS, THOMAS, WOLFFOwnerCHAIRMAN, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← BENWITT, MICHAEL, GOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← COWEN GROUP, INC.OwnerPARENT, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← LASOTA, STEPHENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← SAYAGO, ANDREA, J.S.OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8159635-60b6-4caa-2b89-efc6460d58ae
First observed: Mar 28, 2012
Last observed: Mar 13, 2014 152 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.

RAMIUS ASIA LLC

CRD 137358

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:d8159635-60b6-4caa-2b89-efc6460d58ae

Data as of Mar 13, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:23 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BENWITT, MICHAEL, G

GENERAL COUNSEL

yes

01/2012

Mar 28, 2012

Mar 13, 2014

COWEN GROUP, INC.

Parent

yes

11/2009

Mar 28, 2012

Mar 13, 2014

RAMIUS LLC

MANAGING MEMBER

yes

11/2009

Mar 28, 2012

Mar 13, 2014

SINGER, MICHAEL, EVAN

CHIEF EXECUTIVE OFFICER

yes

12/2012

Mar 22, 2013

Mar 13, 2014

STRAUSS, THOMAS, WOLFF

Chairman

yes

12/2012

Mar 28, 2012

Mar 13, 2014

LASOTA, STEPHEN

CHIEF FINANCIAL OFFICER

02/2008

Mar 28, 2012

Mar 13, 2014

SAYAGO, ANDREA, J.S.

CHIEF COMPLIANCE OFFICER

09/2011

Mar 28, 2012

Mar 13, 2014

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

RAMIUS LLC

n/a

Former SEC adviser

$2.1B

yes

n/a

ORCHARD SQUARE PARTNERS, LLC

n/a

Former SEC adviser

$1.9B

yes

n/a

RAMIUS ALTERNATIVE SOLUTIONS LLC

n/a

Institutional manager

$1.4B

yes

n/a

RCG LONGVIEW MANAGEMENT, LLC

n/a

Former SEC adviser

$1.1B

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

RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC

n/a

Former SEC adviser

$130M

yes

n/a

RAMIUS STRUCTURED CREDIT GROUP LLC

n/a

Former SEC adviser

$102M

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

ATM USA, LLC

n/a

yes

n/a

COWEN AND COMPANY, LLC

n/a

yes

n/a

COWEN EQUITY FINANCE LP

n/a

yes

n/a

COWEN INTERNATIONAL LIMITED

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

HEALTHCARE ROYALTY MANAGEMENT, LLC

n/a

yes

n/a

ORCHARD SQUARE PARTNERS GP, LLC

n/a

yes

n/a

RAMIUS TRADING STRATEGIES GP LLC

n/a

yes

n/a

RCG RE MANAGER LLC

n/a

yes

n/a

VANDERBILT ACCOUNT MANAGEMENT LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 13, 2014

$27.6M

n/a

2012

Mar 22, 2013

$78.1M

n/a

2011

Mar 28, 2012

$82.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$27.6M

$78.1M

-64.7%

n/a