COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

CRD 133171File 801-63845

APPROVED

Custody

Filing as of Mar 31, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$237.4M

Below cohort median (national)

Discretionary AUM

$105.2M

Non-discretionary $132.3M

Clients

5 accounts

Employees

Below cohort median in NY

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: NYRO
Registration date: Feb 4, 2005
Principal office: 3 COLUMBUS CIRCLE, 24TH FLOOR, NEW YORK, NY, 10019
Phone: 646-792-5600
Website: https://www.linkedin.com/company/cohen-and-company-asset-management/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $237.4M
Discretionary AUM: $105.2M
Non-discretionary AUM: $132.3M
Discretionary accounts: 4
Non-discretionary accounts: 1
Total accounts: 5
AUM per client: $47.5M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Pooled investment vehicles	5	$237.4M

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Other (described) — PORTION OF FOUNDERS SHARE ALLOCATION PURCHASED AT NOMINAL COST
Performance-based fees
A percentage of assets under your management

Advisory activities

Portfolio management for pooled investment vehicles

Custody

ADV Item 9

Firm Custody Cash: Yes
Firm Custody Assets: Yes
Firm Custody Clients: Yes
Firm Custody Securities: Yes
Related Person Custody Cash: Yes
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: Yes

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.