Investment adviser · CRD 135564

COWEN ADVISORS LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2017

Regulatory AUM
$102M
Form ADV · Item 5.F
Client accounts
69
Accounts, not individual clients
Employees
46
Reported in this filing
Advisory professionals
15
Investment advisory functions

Private funds & service providers

4 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 PRIVATE INVESTMENTS LPPrivate Equity Fund · Last reported Mar 30, 2017$53MGross asset value

Feeder funds

  • COWEN PRIVATE INVESTMENTS EMPLOYEE FEEDER LP
Fund administrator CITCO FUND ADMINISTRATION (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian CAPITAL ONE BANK NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, 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

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

Fund details & source
Fund ID
805-2961408544
Reported beneficial owners
90
Minimum commitment
$25M
Form D file number
021-247084

Form ADV 1100664 · Mar 30, 2017 · 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.

NAUTILUS RMBS CDO I, LTD.Securitized Asset Fund · Last reported Mar 30, 2017$12.7MGross asset value
Fund administrator WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, 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
805-9936106452
Reported beneficial owners
1
Minimum commitment
$1M

Form ADV 1100664 · Mar 30, 2017 · 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.

NAUTILUS RMBS CDO II, LTD.Securitized Asset Fund · Last reported Oct 19, 2016$13.3MGross asset value
Fund administrator WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, 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
805-7343340153
Reported beneficial owners
3
Minimum commitment
$1M

Form ADV 1046225 · Oct 19, 2016 · 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.

RCG ENDEAVOUR LLCHedge Fund · Last reported Mar 14, 2014$442KGross asset value
Custodian WELLS FARGO SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC NEW YORK, New Jersey, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-7820457716
Reported beneficial owners
5
Minimum commitment
$1M

Form ADV 795231 · Mar 14, 2014 · 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 30, 2017. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

599 LEXINGTON AVENUE
NEW YORK, NY, 10022, United States

CRD 135564

Filing source

Form ADV 1100664 · Mar 30, 2017 · 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.