DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C•••• • C•••••• F•••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Feb 4, 2005
RAUM
$237M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$237M as of Mar 31, 2026
Mar 30, 2012$3.3B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)29 as of Mar 31, 2026
Mar 28, 20133 then
Private funds5 as of Mar 31, 2026
Mar 30, 20129 then
RAUM -80% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $47.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -80%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$237M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=16.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- K•••••• R•••••• S•••• to A•••• C••••••Jan 11, 2023 · Other
Joined, latest
- K•••••• R•••••• S•••• from D•••••• C•••••• M••••••••• L••Mar 21, 2017 · Other
Private funds
55 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• P•••••••• F•••••• V••• L••no longer reported | Securitized Asset Fund | $330M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• V•••• L•• | Securitized Asset Fund | $256M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• V•• L•• | Securitized Asset Fund | $216M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• I•• L••no longer reported | Securitized Asset Fund | $187M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• I•• L•• | Securitized Asset Fund | $164M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• V• L•• | Securitized Asset Fund | $159M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• I• L••no longer reported | Securitized Asset Fund | $112M | 0 | Mar 30, 2012 |
| A••••• P•••••••• F•••••• I••• L•• | Securitized Asset Fund | $94.3M | 0 | Mar 30, 2012 |
| D•••••• E••••• C•• I• P••no longer reported | Securitized Asset Fund | $88.8M | 0 | Apr 4, 2012 |
| V••••• O••••••••• F••• M•••••• L••• | Other Private Fund | $82.7M | 70 | Apr 24, 2019 |
| D•••••• E••••• C•• I•• P•• | Securitized Asset Fund | $57.1M | 0 | Mar 31, 2021 |
| D•••••• E••••• C•• I• P•• | Securitized Asset Fund | $53.8M | 0 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 1•no longer reported | Other Private Fund | $17.1M | 5 | Mar 31, 2022 |
| V••••• O••••••••• F••• L•no longer reported | Other Private Fund | $15.4M | 19 | Mar 29, 2019 |
| A••• G••••• L•• • S••••• 2• | Other Private Fund | $9.9M | 22 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 5•no longer reported | Other Private Fund | $8.5M | 5 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 1• | Other Private Fund | $5.3M | 20 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 1•no longer reported | Other Private Fund | $3.9M | 8 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 4•no longer reported | Other Private Fund | $3.7M | 6 | Mar 31, 2021 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 2•no longer reported | Other Private Fund | $3.6M | 21 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 2• | Other Private Fund | $3.5M | 14 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 2• | Other Private Fund | $3.0M | 19 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 8• | Other Private Fund | $3.0M | 9 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 2•no longer reported | Other Private Fund | $2.7M | 4 | Mar 31, 2021 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 8•no longer reported | Other Private Fund | $2.6M | 7 | Mar 31, 2021 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 2• | Other Private Fund | $2.5M | 5 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 1• | Other Private Fund | $2.4M | 25 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 1• | Other Private Fund | $2.3M | 16 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 2• | Other Private Fund | $2.0M | 17 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 2• | Other Private Fund | $2.0M | 13 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 1•no longer reported | Other Private Fund | $1.6M | 7 | Mar 31, 2021 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 1• | Other Private Fund | $1.6M | 8 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 1• | Other Private Fund | $1.6M | 10 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 2•no longer reported | Other Private Fund | $1.6M | 7 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 3• | Other Private Fund | $1.3M | 4 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 6• | Other Private Fund | $1.2M | 5 | Mar 31, 2021 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 1•no longer reported | Other Private Fund | $559,574 | 5 | Mar 31, 2022 |
| A••• G••••• L•• • S••••• 1• | Other Private Fund | $551,635 | 11 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 2• | Other Private Fund | $547,990 | 4 | Mar 31, 2022 |
| V••••• S•••••• O••••••••• F••• L•• • S••••• 3• | Other Private Fund | $388,762 | 15 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••••• J•••• · General Counsel & Secretary, Senior Vice Presidentcontrolsince 09/2020 · owns less than 5%
- D•••••••• A•••••• K•••••• · Chief Operating Officercontrolsince 04/2018 · owns less than 5%
- P•••••• J•••••• W•••••• · Chief Financial Officercontrolsince 11/2007 · owns less than 5%
- S•••• T•••• P•••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- C••••• D•••••• G••••• · Membercontrolsince 10/2001 · owns 75% or more of C•••• Bros. Financial, LLC
Entity owners
- D•••••• I••••••••• L•• · Memberdirect · owns 75% or more
- C•••• • C••••••• I••• · Memberindirect · owns 50% to 75% of C•••• • C••••••• L•• ••••• C•••• B•••••••• L••• · public reporting company
- C•••• • C••••••• L•• ••••• C•••• B•••••••• L••• · Memberindirect · owns 75% or more of D•••••• I••••••••• L••
Related persons
Schedule D 7.A
- A••• G••••• M••••••••• L••pooled vehicle sponsorn
- C•••• • C•••••• F•••••••• ••••••• S•••broker-dealerinvestment advisern
- J••••• F•••••••• G••••• L••broker-dealern
- V••••• S•••••• O••••••••• G• L••pooled vehicle sponsorn
Advisers that list C•••• • C•••••• F•••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,177,400,108 to $237,444,960 (-80.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 1.0% percentile
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 87.0% to 44.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 17 to 5Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Mar 28, 2025 to Mar 31, 2026
- Advisory activities · 2 to 1Mar 28, 2025 to Mar 31, 2026
- BD registered reps · 14 to 16Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 16 to 5Mar 28, 2025 to Mar 31, 2026
- Private funds · 16 to 5Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $105MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $152M to $132MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.0B to $237MMar 28, 2025 to Mar 31, 2026
- RAUM · $1.2B to $237MMar 28, 2025 to Mar 31, 2026
- Accounts · 29 to 17Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 7 to 6Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 28 to 16Mar 29, 2024 to Mar 28, 2025
- Employees · 31 to 29Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Private funds · 28 to 16Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $1.0BMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $167M to $152MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.0B to $1.0BMar 29, 2024 to Mar 28, 2025
- RAUM · $1.2B to $1.2BMar 29, 2024 to Mar 28, 2025
- Accounts · 41 to 29Nov 1, 2023 to Mar 29, 2024
- Advisory employees · 10 to 7Nov 1, 2023 to Mar 29, 2024
- BD registered reps · 15 to 14Nov 1, 2023 to Mar 29, 2024
- Pooled vehicle clients · 40 to 28Nov 1, 2023 to Mar 29, 2024
- Employees · 37 to 31Nov 1, 2023 to Mar 29, 2024
- Private funds · 40 to 28Nov 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.2B to $1.0BNov 1, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $144M to $167MNov 1, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.2B to $1.0BNov 1, 2023 to Mar 29, 2024
- RAUM · $1.3B to $1.2BNov 1, 2023 to Mar 29, 2024
- Other offices · 1 to 0May 18, 2023 to Nov 1, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2023 to May 18, 2023
- Pooled vehicle RAUM · $1.2B to $1.2BMar 31, 2023 to May 18, 2023
- RAUM · $1.3B to $1.3BMar 31, 2023 to May 18, 2023
- Accounts · 50 to 41May 10, 2022 to Mar 31, 2023
- BD registered reps · 17 to 15May 10, 2022 to Mar 31, 2023
- Pooled vehicle clients · 49 to 40May 10, 2022 to Mar 31, 2023
- Employees · 34 to 37May 10, 2022 to Mar 31, 2023
- Private funds · 49 to 40May 10, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.5B to $1.2BMay 10, 2022 to Mar 31, 2023
Signals
6 dated events
- C•••• • C•••••• F•••••••• M••••••••• L•• reported RAUM $237.4M, down 80% from $1.2B (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- K•••••• R•••••• S•••• left C•••• • C•••••• F•••••••• M••••••••• L•• for A•••• C•••••• (registered 2018-04-02)Jan 11, 2023 · Advisor changed firm · fact
- Richard Kenneth Smith (Chief Compliance Officer) no longer on Schedule A of C•••• • C•••••• F•••••••• M••••••••• L•• (listed 2020-03-27, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Paulsen Tina Shaw (Chief Compliance Officer) appeared on Schedule A of C•••• • C•••••• F•••••••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- James Dennis Crilly (General Counsel & Secretary, Senior Vice President) appeared on Schedule A of C•••• • C•••••• F•••••••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- Kenneth Andrew Davilman (Chief Operating Officer) appeared on Schedule A of C•••• • C•••••• F•••••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cohen-and-company-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••ANDCOMPANY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-792-5600reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026