Cohen & Co Financial Management, LLC
Registered adviserRegulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Apr 2026 to Nov 2026 | $237,444,960 | Pooled investment vehicles (100%) |
| Apr 2025 to Mar 2026 | $1,177,400,108 | Pooled investment vehicles (87%) |
| Apr 2024 to Mar 2025 | $1,202,093,237 | Pooled investment vehicles (86%) |
| Jun 2023 to Mar 2024 | $1,298,435,339 | Pooled investment vehicles (89%) |
| May 2023 | $1,299,397,925 | Pooled investment vehicles (89%) |
| Apr 2023 | $1,299,397,925 | Pooled investment vehicles (89%) |
Portfolio style
Measured from the filed 13F common-share book for Sep 30, 2023, never from the firm's own description.
Closest benchmark: the Russell 2000 as of 2023-09-30, active share 100.0%; sector active share 77.6% against the combined 13F book's sector weights.
Over time 10 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
6 tracked positions · as of Sep 30, 2023 · Δ vs Jun 30, 2023Portfolio Trend
Sector Breakdown
As of Sep 30, 2023| Sector | % Portfolio | Value |
|---|---|---|
| Industrials | 85.9% | $15,342,254 |
| Unclassified | 8.5% | $1,509,271 |
| Financial Services | 4.3% | $767,251 |
| Healthcare | 1.3% | $232,908 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increasedNew Positions
Positions the filer opened this quarter| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| OIO | OIO Group | 1,268,085 | $669,454 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| LNZA |
LanzaTech Global, Inc.
Industrials
|
Reduced | 2,690,000 | $12,562,300 | 70.37% | |
| LNZAW |
LanzaTech Global, Inc.
Industrials
|
Held | 2,010,000 | $2,110,500 | 11.82% | |
|
|
Held | 2,836,975 | $1,509,271 | 8.45% | ||
| SHFS |
SHF Holdings, Inc.
Financial Services
|
Held | 971,204 | $767,251 | 4.30% | |
| OIO |
OIO Group
Industrials
|
NEW | 1,268,085 | $669,454 | 3.75% | |
| OCEA |
Ocean Biomedical, Inc.
Healthcare
|
Reduced | 59,720 | $232,908 | 1.30% |
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.