Investment adviser · CRD 133171

COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $237M
Client accounts: 5
Employees: 29
Advisory professionals: 5

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	5	$237,444,960	100.0%

Filing source

Form ADV 2063342 · Mar 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

50+ Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

Browse the first 49 funds across 7 pages.

SMI 2018, LPLiquidity Fund · Last reported Mar 31, 2026$132MGross asset value

Fund administrator ALTER DOMUS (US) LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CHICAGO, Illinois, United States

Custodian U.S BANK NATIONAL ASSOCIATION TEMPE, Arizona, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 238

U.S BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-3721511198
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 2063342 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DEKANIA EUROPE CDO II PLCSecuritized Asset Fund · Last reported Mar 31, 2026$57.2MGross asset value

Fund administrator ALTER DOMUS FINANCIAL SERVICES (UK) LIMITED LONDON, United Kingdom Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON INTERNATIONAL LIMITED DUBLIN, Ireland

Custodian HSBC BANK PLC LONDON, United Kingdom Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON INTERNATIONAL LIMITED
PCAOB 1402

Fund details & source

Fund ID: 805-9914959255
Reported beneficial owners: 0
Minimum commitment: $0

Form ADV 2063342 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DEKANIA EUROPE CDO III PLCSecuritized Asset Fund · Last reported Mar 31, 2026$47MGross asset value

Fund administrator ALTER DOMUS FINANCIAL SERVICES (UK) LIMITED LONDON, United Kingdom Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON INTERNATIONAL LIMITED DUBLIN, Ireland

Custodian HSBC BANK PLC LONDON, United Kingdom Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON INTERNATIONAL LIMITED
PCAOB 1402

Fund details & source

Fund ID: 805-6208896900
Reported beneficial owners: 0
Minimum commitment: $0

Form ADV 2063342 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ASJC GLOBAL LLC - SERIES 8Other Private Fund · Last reported Mar 31, 2026$981KGross asset value

Form D fundraising filings

ASJC Global LLC - Series 8

Fund administrator ARTEX FUND SERVICES LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLC PHILADELPHIA, Pennsylvania, United States

Custodian CIBC BANK USA CHICAGO, Illinois, United States Related to adviser: No

Custodian CONTINENTAL STOCK TRANSFER & TRUST NEW YORK, New York, United States Related to adviser: No

Custodian RBC CAPITAL MARKETS, LLC MINNEAPOLIS, Minnesota, United States Related to adviser: No

Custodian WATERMILL INSTITUTIONAL TRADING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON LLC
PCAOB 248

RBC CAPITAL MARKETS, LLC
SEC 8-45411

WATERMILL INSTITUTIONAL TRADING LLC
SEC 8-68311

Fund details & source

Fund ID: 805-4392425808
Reported beneficial owners: 9
Minimum commitment: $100K
Form D file number: 021-397063

Form ADV 2063342 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VELLAR SPECIAL OPPORTUNITIES FUND LLC - SERIES 23Other Private Fund · Last reported Mar 31, 2026$57.1KGross asset value

Form D fundraising filings

Vellar Special Opportunities Fund LLC - Series 23

Fund administrator ARTEX FUND SERVICES LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLC PHILADELPHIA, Pennsylvania, United States

Custodian CIBC BANK USA CHICAGO, Illinois, United States Related to adviser: No

Custodian RBC CAPITAL MARKETS, LLC MINNEAPOLIS, Minnesota, United States Related to adviser: No

Custodian WATERMILL INSTITUTIONAL TRADING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON LLC
PCAOB 248

RBC CAPITAL MARKETS, LLC
SEC 8-45411

WATERMILL INSTITUTIONAL TRADING LLC
SEC 8-68311

Fund details & source

Fund ID: 805-6374801961
Reported beneficial owners: 4
Minimum commitment: $100K
Form D file number: 021-425554

Form ADV 2063342 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ALESCO PREFERRED FUNDING IX, LTDSecuritized Asset Fund · Last reported Mar 31, 2021$418MGross asset value

Fund administrator INTERTRUST CAYMAN LIMITED F/K/A WALKERS SPV LTD GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian U.S. BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-9551889038
Reported beneficial owners: 0
Minimum commitment: $0

Form ADV 1512131 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ALESCO PREFERRED FUNDING VII, LTDSecuritized Asset Fund · Last reported Mar 31, 2021$330MGross asset value

Fund administrator INTERTRUST CAYMAN LIMITED F/K/A WALKERS SPV LTD GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION PITTSBURGH, Pennsylvania, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-5575298195
Reported beneficial owners: 0
Minimum commitment: $0

Form ADV 1512131 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

3 COLUMBUS CIRCLE, 24TH FLOOR
NEW YORK, NY, 10019, United States

CRD 133171

Filing source

Form ADV 2063342 · Mar 31, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.