Cohen & Company Financial Management, Llc
SEC-registered
Private Fund Manager · Small ($100M–$1B)
CRD 133171
· SEC file 801-63845
· New York, NY
· www.linkedin.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $237M
- Discretionary
- $105M
- Clients
- 5
- Avg AUM / client
- $47.5M
- Accounts
- 5
- Employees
- 29
AUM over time
$237M
$3.3B
Mar 30, 2012
Mar 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 5 | $237M | 100.0% |
Private funds (28)
View all →Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $1.0B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Alesco Preferred Funding Viii, Ltd | Securitized Asset Fund | Cayman Islands | $256M | 0 |
| Alesco Preferred Funding Vi, Ltd | Securitized Asset Fund | Cayman Islands | $216M | 0 |
| Alesco Preferred Funding Iv, Ltd | Securitized Asset Fund | Cayman Islands | $164M | 0 |
| Alesco Preferred Funding V, Ltd | Securitized Asset Fund | Cayman Islands | $159M | 0 |
| Alesco Preferred Funding Iii, Ltd | Securitized Asset Fund | Cayman Islands | $94.3M | 0 |
| Dekania Europe Cdo Iii Plc | Securitized Asset Fund | Ireland | $57.1M | 0 |
| Dekania Europe Cdo Ii Plc | Securitized Asset Fund | Ireland | $53.8M | 0 |
| Asjc Global Llc Series 24 | Other Private Fund | Delaware | $9.9M | 22 |
| Asjc Global Llc Series 26 | Other Private Fund | Delaware | $3.5M | 14 |
| Vellar Special Opportunities Fund Llc Series 24 | Other Private Fund | Delaware | $3.0M | 19 |
| Asjc Global Llc Series 8 | Other Private Fund | Delaware | $3.0M | 9 |
| Vellar Special Opportunities Fund Llc Series 29 | Other Private Fund | Delaware | $2.5M | 5 |
| Asjc Global Llc Series 11 | Other Private Fund | Delaware | $2.4M | 25 |
| Asjc Global Llc Series 18 | Other Private Fund | Delaware | $2.3M | 16 |
| Asjc Global Llc Series 20 | Other Private Fund | Delaware | $2.0M | 17 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cohen, Daniel, Gideon | Member | Oct 2001 (25y) | 75% or more of Cohen Bros. Financial, Llc (indirect) | |
| Pooler, Joseph, William | Chief Financial Officer | Nov 2007 (19y) | Less than 5% | |
| Davilman, Andrew, Kenneth | Chief Operating Officer | Apr 2018 (8y) | Less than 5% | |
| Crilly, Dennis, James | General Counsel & Secretary, Senior Vice President | Sep 2020 (6y) | Less than 5% | |
| Shaw, Tina, Paulsen | Chief Compliance Officer | Mar 2021 (5y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Dekania Investors, Llc | Member | Jun 2003 | A | 75% or more |
| Cohen & Company, Llc (F/K/A Cohen Brothers, Llc) | Member | Apr 2005 | B | ≈ 56.25% – 100% via Dekania Investors, Llc |
| Cohen & Company, Inc. | Member | Dec 2009 | B | ≈ 28.13% – 75% via Cohen & Company, Llc (F/K/A Cohen Brothers, Llc) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Cohen & Company, Llc (F/K/A Cohen Brothers, Llc): 75% – 100% of Dekania Investors, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Cohen & Company, Inc.: 50% – 75% of Cohen & Company, Llc (F/K/A Cohen Brothers, Llc) × 75% – 100% of Dekania Investors, Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (28, $1.0B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Alesco Preferred Funding Viii, Ltd | Securitized Asset Fund | $256M | $0 | 0 |
| Alesco Preferred Funding Vi, Ltd | Securitized Asset Fund | $216M | $0 | 0 |
| Alesco Preferred Funding Iv, Ltd | Securitized Asset Fund | $164M | $0 | 0 |
| Alesco Preferred Funding V, Ltd | Securitized Asset Fund | $159M | $0 | 0 |
| Alesco Preferred Funding Iii, Ltd | Securitized Asset Fund | $94.3M | $0 | 0 |
| Dekania Europe Cdo Iii Plc | Securitized Asset Fund | $57.1M | $0 | 0 |
| Dekania Europe Cdo Ii Plc | Securitized Asset Fund | $53.8M | $0 | 0 |
| Asjc Global Llc Series 24 | Other Private Fund | $9.9M | $100K | 22 |
| Asjc Global Llc Series 26 | Other Private Fund | $3.5M | $100K | 14 |
| Vellar Special Opportunities Fund Llc Series 24 | Other Private Fund | $3.0M | $100K | 19 |
| Asjc Global Llc Series 8 | Other Private Fund | $3.0M | $100K | 9 |
| Vellar Special Opportunities Fund Llc Series 29 | Other Private Fund | $2.5M | $100K | 5 |
| Asjc Global Llc Series 11 | Other Private Fund | $2.4M | $100K | 25 |
| Asjc Global Llc Series 18 | Other Private Fund | $2.3M | $100K | 16 |
| Asjc Global Llc Series 20 | Other Private Fund | $2.0M | $100K | 17 |
| Vellar Special Opportunities Fund Llc Series 21 | Other Private Fund | $2.0M | $100K | 13 |
| Asjc Global Llc Series 17 | Other Private Fund | $1.6M | $100K | 10 |
| Vellar Special Opportunities Fund Llc Series 6 | Other Private Fund | $1.2M | $100K | 5 |
| Asjc Global Llc Series 15 | Other Private Fund | $552K | $100K | 11 |
| Vellar Special Opportunities Fund Llc Series 23 | Other Private Fund | $548K | $100K | 4 |
| Vellar Special Opportunities Fund Llc Series 3 | Other Private Fund | $389K | $100K | 15 |
| Vellar Special Opportunities Fund Llc Series 27 | Other Private Fund | $217K | $100K | 5 |
| Asjc Global Llc Series 16 | Other Private Fund | $152K | $100K | 11 |
| Vellar Special Opportunities Fund Llc Series 22 | Other Private Fund | $96.8K | $100K | 14 |
| Asjc Global Llc Series 23 | Other Private Fund | $67.5K | $100K | 18 |
Top 25 of 28 funds by gross assets · all funds
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.23 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • PORTION OF FOUNDERS SHARE ALLOCATION PURCHASED AT NOMINAL COST
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗