Investment adviser · CRD 151953

COWEN INVESTMENT MANAGEMENT LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Jun 5, 2023

Regulatory AUM: $2.07B
Client accounts: 12
Employees: 67
Advisory professionals: 12

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	9	$1,294,792,439	62.4%
Other clients	Fewer than 5	$774,370,911	37.3%
Banks & thrifts	Fewer than 5	$4,674,943	0.2%

Filing source

Form ADV 1767365 · Jun 5, 2023 · 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

23 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.

COWEN SUSTAINABLE INVESTMENTS OFFSHORE I LPPrivate Equity Fund · Last reported Jun 5, 2023$519MGross asset value

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No

Marketer FRONTIER SOLUTIONS, LLC RICHMOND, Virginia, United States Related to adviser: No

Marketer LOCORR DISTRIBUTORS, LLC NEW YORK, New York, United States Related to adviser: No

Marketer THREADMARK PARTNERS LIMITED 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: Yes

ERNST & YOUNG LLP
PCAOB 42

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

FRONTIER SOLUTIONS, LLC
CRD 136102 · SEC 8-66972

LOCORR DISTRIBUTORS, LLC
CRD 41782 · SEC 8-49568

Fund details & source

Fund ID: 805-9090098982
Reported beneficial owners: 38
Minimum commitment: $5M
Form D file number: 021-350268

Form ADV 1767365 · Jun 5, 2023 · 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.

COWEN SUSTAINABLE INVESTMENTS I LPPrivate Equity Fund · Last reported Jun 5, 2023$372MGross asset value

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No

Marketer FRONTIER SOLUTIONS, LLC RICHMOND, Virginia, United States Related to adviser: No

Marketer LOCORR DISTRIBUTORS, LLC EXCELSIOR, Minnesota, United States Related to adviser: No

Marketer THREADMARK PARTNERS LIMITED 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: Yes

ERNST & YOUNG LLP
PCAOB 42

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

FRONTIER SOLUTIONS, LLC
CRD 136102 · SEC 8-66972

LOCORR DISTRIBUTORS, LLC
CRD 41782 · SEC 8-49568

Fund details & source

Fund ID: 805-2872611896
Reported beneficial owners: 72
Minimum commitment: $5M
Form D file number: 021-350260

Form ADV 1767365 · Jun 5, 2023 · 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.

CSI I MASTER FUND B LPPrivate Equity Fund · Last reported Jun 5, 2023$234MGross asset value

Feeder funds

COWEN SUSTAINABLE INVESTMENTS OFFSHORE I LP

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian BANK OF AMERICA N.A. NEW YORK, New York, 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

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

Fund details & source

Fund ID: 805-8874441525
Reported beneficial owners: 1
Minimum commitment: $10K

Form ADV 1767365 · Jun 5, 2023 · 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.

CSI CORAL BLUE CO-INVESTMENT LPOther Private Fund · Last reported Jun 5, 2023$146MGross asset value

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, 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

ERNST & YOUNG LLP
PCAOB 42

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

Fund details & source

Fund ID: 805-3704196610
Reported beneficial owners: 2
Minimum commitment: $500K
Form D file number: 021-360579

Form ADV 1767365 · Jun 5, 2023 · 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.

CSI I MASTER FUND C LPPrivate Equity Fund · Last reported Jun 5, 2023$126MGross asset value

Feeder funds

COWEN SUSTAINABLE INVESTMENTS OFFSHORE I LP

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, 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

ERNST & YOUNG LLP
PCAOB 42

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

Fund details & source

Fund ID: 805-5782072810
Reported beneficial owners: 2
Minimum commitment: $10K

Form ADV 1767365 · Jun 5, 2023 · 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.

COWEN DIGITAL ASSSET INVESTMENT COMPANY LLCPrivate Equity Fund · Last reported Jun 5, 2023$105MGross asset value

Form D fundraising filings

Cowen Digital Asset Investment Co LLC

Auditor KPMG LLC NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Provider details

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

KPMG LLC
PCAOB 185

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

Fund details & source

Fund ID: 805-4285227305
Reported beneficial owners: 81
Minimum commitment: $10K
Form D file number: 021-400672

Form ADV 1767365 · Jun 5, 2023 · 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.

CSI PRTA CO-INVESTMENT LPOther Private Fund · Last reported Jun 5, 2023$80.4MGross asset value

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker COWEN AND COMPANY NEW YORK, New York, United States

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

PERSHING LLC
SEC 8-17574

COWEN AND COMPANY
CRD 7616 · SEC 8-22522

Fund details & source

Fund ID: 805-2267234189
Reported beneficial owners: 2
Minimum commitment: $250K
Form D file number: 021-374055

Form ADV 1767365 · Jun 5, 2023 · 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: Jun 5, 2023. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK, NY, 10022, United States

CRD 151953

Filing source

Form ADV 1767365 · Jun 5, 2023 · 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.