CIK 1275893
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2022-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BENWITT, MICHAEL, G | CHIEF OPERATING OFFICER AND GENERAL COUNSEL, COWEN INVESTMENT MANAGEMENT LLC | 2012-01 | <5% ·◆ |
| Latourelle, Ashley, Paige | CHIEF COMPLIANCE OFFICER | 2022-08 | <5% ·◆ |
| ROSMAN, ELIZABETH, RACHEL | HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC | 2018-08 | <5% ·◆ |
| RYAN, JAMES, DAVID | CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC | 2015-08 | <5% ·◆ |
| COWEN INVESTMENT MANAGEMENT LLCentity | MANAGING AND SOLE MEMBER | 2009-11 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2023-Q3). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| SAYAGO, ANDREA, J.S. | CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGEMENT LLC · CHIEF COMPLIANCE OFFICER | 2022-03 | — not seen at a tracked firm |
| STRAUSS, THOMAS, WOLFF | CHAIRMAN, COWEN INVESTMENT MANAGEMENT LLC · CHAIRMAN · CHIEF EXECUTIVE OFFICER | 2018-03 | — not seen at a tracked firm |
| FRAENKEL, FRED, STEVEN | INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC · INTERIM CHIEF EXECUTIVE OFFICER | 2018-03 | — not seen at a tracked firm |
| SINGER, MICHAEL, EVAN | CHIEF EXECUTIVE OFFICER | 2016-03 | — not seen at a tracked firm |
| LASOTA, STEPHEN | CHIEF FINANCIAL OFFICER | 2015-03 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
