COWEN INVESTMENT MANAGEMENT LLC
CRD #151953 SEC #801-70868 NEW YORK, NY (646) 562-1010
SEC Registered Private Funds
Total AUM
$2.1B
Discretionary
$2.1B
Employees
67
Clients
--
Accounts
12
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 5, 2023
- Branch Offices
- 1
- LEI
- YJZPNSPEVY2MX745S257
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL | NA | |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| BENWITT, MICHAEL, G | I | GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| FIORELLO, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIORELLO, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIORELLO, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FRAENKEL, FRED, STEVEN | I | INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| FRAENKEL, FRED, STEVEN | I | INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| FRAENKEL, FRED, STEVEN | I | INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| FRAENKEL, FRED, STEVEN | I | VICE CHAIRMAN OF COWEN INC, HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| FRAENKEL, FRED, STEVEN | I | VICE CHAIRMAN OF COWEN INC. | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LASOTA, STEPHEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LITTMAN, OWEN | I | GENERAL COUNSEL | NA | |
| LITTMAN, OWEN | I | GENERAL COUNSEL | NA | |
| LITTMAN, OWEN | I | GENERAL COUNSEL | NA | |
| Latourelle, Ashley, Paige | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Latourelle, Ashley, Paige | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Latourelle, Ashley, Paige | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Latourelle, Ashley, Paige | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Latourelle, Ashley, Paige | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| ROSMAN, ELIZABETH, RACHEL | I | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| RYAN, JAMES, DAVID | I | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SAYAGO, ANDREA, J.S. | I | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC | NA | |
| SINGER, MICHAEL, EVAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SINGER, MICHAEL, EVAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SOLOMON, JEFFREY, MARC | I | CHIEF OPERATING OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | VICE CHAIRMAN, COWEN INC., CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC | NA | Control |
| STRAUSS, THOMAS, WOLFF | I | VICE CHAIRMAN, COWEN INC. | NA | Control |
| WHITE, CHRISTOPHER, ANDREW | I | CHIEF OPERATIONS OFFICER | NA | |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN GROUP, INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
| COWEN INC. | DE | PARENT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| TD GROUP US HOLDINGS LLC | DE | TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | E | Control |
| TD GROUP US HOLDINGS LLC | DE | TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | E | Control |
| TD GROUP US HOLDINGS LLC | DE | TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | E | Control |
| TD GROUP US HOLDINGS LLC | DE | TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | E | Control |
| THE TORONTO DOMINION BANK | FE | TD GROUP US HOLDINGS LLC | E | Control |
| THE TORONTO DOMINION BANK | FE | TD GROUP US HOLDINGS LLC | E | Control |
| THE TORONTO DOMINION BANK | FE | TD GROUP US HOLDINGS LLC | E | Control |
| THE TORONTO DOMINION BANK | FE | TD GROUP US HOLDINGS LLC | E | Control |
| TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | DE | COWEN INC. | E | Control |
| TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | DE | COWEN INC. | E | Control |
| TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | DE | COWEN INC. | E | Control |
| TORONTO DOMINION (U.S.A.) HOLDINGS, INC. | DE | COWEN INC. | E | Control |
Registrations
Federal
IA
Jun 5, 2023 REGISTERED
Notice Filings (2)
DE NY
Address
599 LEXINGTON AVENUE20TH FLOOR
NEW YORK, NY 10022
United States
Phone: (646) 562-1010