COWEN PRIME ADVISORS LLC
CRD #315686 SEC #801-72184 NEW YORK, NY 646-562-1010
SEC Registered
Total AUM
$345.4M
Discretionary
$345.4M
Employees
4
Clients
0
Accounts
75
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 27, 2023
- Branch Offices
- 1
- LEI
- 549300X855XKPWLLMA70
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| CHARNEY, DANIEL, S. | I | CEO | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| HOLMES, JOHN | I | CHIEF OPERATINGOFFICER AND PRINCIPALOPERATIONS OFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| JORDAN, FRANCIS | I | PRINCIPAL FINANCIALOFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| POPPELL, RALPH, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| Potenciano, Joel, Kasunuran | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| Potenciano, Joel, Kasunuran | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN PB HOLDINGS LLC | DE | PARENT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | COWEN PB HOLDINGS LLC | E | Control |
| COWEN INC. | DE | RCG LV PEARL, LLC | E | Control |
| RCG LV PEARL, LLC | DE | COWEN PB HOLDINGS LLC | E | Control |
| TD GROUP US HOLDINGS LLC | DE | TORONTO DOMINION HOLDINGS (U.S.A.), INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD GROUP US HOLDINGS LLC | E | Control |
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | DE | COWEN INC. | E | Control |
Registrations
Federal
IA
Mar 27, 2023 REGISTERED
Notice Filings (32)
AZ CA CO CT DC DE FL GA IL KY MA MD ME MI MN MT NC NH NJ NM NY OH OR PA RI SC TN TX VA VT WA WI
Address
599 LEXINGTON AVE27TH FLOOR
NEW YORK, NY 10022
United States
Phone: 646-562-1010