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.

Former SEC-registered adviser

Cowen Prime Advisors

Former SEC-registered adviserNew York, New YorkCRD 153397SEC 801-72184IAPD
Legal name Cowen Prime Services LLC
Latest filing Mar 26, 2021
First filing on the tape Jan 17, 2012 · 24 filings
RAUM
$359M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$359M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$359M as of Mar 26, 2021
Mar 30, 2012$230M then
HNW client RAUM$359M as of Mar 26, 2021
Mar 8, 2018$286M then
State-registered IARs (5.B.3)4 as of Mar 26, 2021
Mar 30, 20120 then
Employees (5.A)4 as of Mar 26, 2021
Mar 15, 201312 then
Private funds: no history
RAUM +17% over the last fiscal year+7.9% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
RAUM per advisor
$89.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.8MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$359M100%
Individual clients
n/areported
HNW clients
62reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
200reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Daniel S Charney · Ceocontrol
    since 09/2015 · owns less than 5%
  • John Holmes · Chief Operating Officer And Principal Operations Officercontrol
    since 09/2015 · owns less than 5%
  • Ralph Edward Poppell · Chief Compliance Officercontrol
    since 03/2010 · owns less than 5%
  • Francis Jordan · Principal Financial Officer
    since 03/2019 · owns less than 5%
Entity owners
  • Cowen Pb Holdings LLC · Direct Parent, Member, Owner
    direct · owns 75% or more
  • Cowen Inc. · Ultimate Parent
    indirect · owns 75% or more of Cowen Pb Holdings LLC · public reporting company
Related persons
Schedule D 7.A
  • Atm Execution LLC
    broker-dealern
  • Chi Advisors LLC
    investment advisernRAUM $1.2B
  • Cowen And Company (Asia) Limited
    broker-dealern
  • Cowen And Company, LLC
    broker-dealern
  • Cowen Execution Services Limited
    broker-dealern
  • Cowen Financial Products LLC
    broker-dealern
  • Cowen Healthcare Investments II Gp LLC
    bankpooled vehicle sponsorn
  • Cowen Healthcare Investments III Gp LLC
    investment advisern
  • Cowen International Limited
    broker-dealern
  • Ramius Advisors, LLC
    investment adviserbankpooled vehicle sponsornRAUM $489M
  • Cowen Investment Management LLC
    investment adviserpooled vehicle sponsornRAUM $2.1B
  • Cowen Private Investments Gp LLC
    pooled vehicle sponsorn
  • Cowen Private Investments II Gp LLC
    pooled vehicle sponsorn
  • Cowen Sustainable Advisors LLC
    investment advisern
  • Ramius Trading Strategies LLC
    investment advisernRAUM $52.6M
  • Csi Gp I LLC
    bankpooled vehicle sponsorn
  • Hcr Canary Fund Gp, LLC
    pooled vehicle sponsorn
  • Hcr Collateral Management, LLC
    investment advisern
  • Hcr H.O.P. Fund Gp, LLC
    pooled vehicle sponsorn
  • Hcr Molag Fund Gp, LLC
    pooled vehicle sponsorn
  • Hcr Potomac Fund Gp, LLC
    pooled vehicle sponsorn
  • Hcr Stafford Fund Gp, LLC
    pooled vehicle sponsorn
  • Hcrp Overflow Fund Gp, LLC
    pooled vehicle sponsorn
  • Healthcare Royalty Gp II, LLC
    pooled vehicle sponsorn
  • Healthcare Royalty Gp III, LLC
    pooled vehicle sponsorn
  • Healthcare Royalty Gp IV, LLC
    pooled vehicle sponsorn
  • Healthcare Royalty Gp, LLC
    pooled vehicle sponsorn
  • Healthcare Royalty Management, LLC
    investment advisernRAUM $3.8B
  • Quarton International Ag
    broker-dealern
  • Rcg Longview
    investment adviserpooled vehicle sponsornRAUM $398M
Advisers that list Cowen Prime Advisors as a related person
Offices
Schedule D 1.F, the 25 largest
  • New York, NY5 employees
What changed
consecutive filings, newest first
  • Accounts · 62 to 200
    Nov 19, 2020 to Mar 26, 2021
  • Advisory employees · 5 to 4
    Nov 19, 2020 to Mar 26, 2021
  • BD registered reps · 5 to 4
    Nov 19, 2020 to Mar 26, 2021
  • Employees · 5 to 4
    Nov 19, 2020 to Mar 26, 2021
  • State-registered IARs · 5 to 4
    Nov 19, 2020 to Mar 26, 2021
  • Discretionary RAUM · $306M to $359M
    Nov 19, 2020 to Mar 26, 2021
  • HNW RAUM · $306M to $359M
    Nov 19, 2020 to Mar 26, 2021
  • RAUM · $306M to $359M
    Nov 19, 2020 to Mar 26, 2021
  • Accounts · 263 to 62
    May 21, 2019 to Apr 6, 2020
  • Discretionary RAUM · $255M to $306M
    May 21, 2019 to Apr 6, 2020
  • HNW RAUM · $255M to $306M
    May 21, 2019 to Apr 6, 2020
  • RAUM · $255M to $306M
    May 21, 2019 to Apr 6, 2020
  • Accounts · 253 to 263
    Mar 8, 2018 to Mar 18, 2019
  • HNW clients · 225 to 62
    Mar 8, 2018 to Mar 18, 2019
  • Discretionary RAUM · $286M to $255M
    Mar 8, 2018 to Mar 18, 2019
  • HNW RAUM · $286M to $255M
    Mar 8, 2018 to Mar 18, 2019
  • RAUM · $286M to $255M
    Mar 8, 2018 to Mar 18, 2019
  • Accounts · 270 to 253
    Mar 24, 2017 to Mar 8, 2018
  • HNW clients · unset to 225.0
    Mar 24, 2017 to Mar 8, 2018
  • State-registered IARs · 0 to 5
    Mar 24, 2017 to Mar 8, 2018
  • Other offices · unset to 1.0
    Mar 24, 2017 to Mar 8, 2018
  • Discretionary RAUM · $299M to $286M
    Mar 24, 2017 to Mar 8, 2018
  • HNW RAUM · unset to 286000000.0
    Mar 24, 2017 to Mar 8, 2018
  • RAUM · $299M to $286M
    Mar 24, 2017 to Mar 8, 2018
  • Accounts · 265 to 270
    May 11, 2016 to Mar 24, 2017
  • Discretionary RAUM · $286M to $299M
    May 11, 2016 to Mar 24, 2017
  • RAUM · $286M to $299M
    May 11, 2016 to Mar 24, 2017
  • HQ city · GARDEN CITY to NEW YORK
    Mar 23, 2016 to May 11, 2016
  • Accounts · 262 to 265
    Oct 16, 2015 to Mar 23, 2016
  • Advisory employees · 6 to 5
    Oct 16, 2015 to Mar 23, 2016
  • BD registered reps · 8 to 5
    Oct 16, 2015 to Mar 23, 2016
  • Employees · 8 to 5
    Oct 16, 2015 to Mar 23, 2016
  • Discretionary RAUM · $271M to $286M
    Oct 16, 2015 to Mar 23, 2016
  • RAUM · $271M to $286M
    Oct 16, 2015 to Mar 23, 2016
  • Accounts · 306 to 262
    Sep 17, 2015 to Oct 16, 2015
  • Advisory employees · 8 to 6
    Sep 17, 2015 to Oct 16, 2015
  • BD registered reps · 11 to 8
    Sep 17, 2015 to Oct 16, 2015
  • Business name · CONCEPT ASSET MANAGEMENT to COWEN PRIME ADVISORS
    Sep 17, 2015 to Oct 16, 2015
  • Employees · 11 to 8
    Sep 17, 2015 to Oct 16, 2015
  • Discretionary RAUM · $352M to $271M
    Sep 17, 2015 to Oct 16, 2015
Signals
1 dated events
  • James Robert Simmons (Principal Financial Officer) no longer on Schedule A of Cowen Prime Advisors (listed 2019-03-18, absent 2019-04-02)
    Apr 2, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
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
Former SEC-registered adviserderiveda 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