Caerus Investors, LLC (New York)

Caerus Investors, LLC is a large advisory firm based in New York. It manages $217.53 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2015.

Caerus Investors provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Caerus Investors: assets under management

The assets under management (AUM) of Caerus Investors, LLC is $217.53 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 69% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $217.53 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $54.38 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Caerus Investors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Caerus Investors serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Caerus Investors is pooled investment vehicles with 3 clients and $155.25 million of assets under management. Among the 9 most similar advisory firms, Caerus Investors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $217.53 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Caerus Investors also advises several private funds.

Careers at Caerus Investors, LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Edward Wilson Davis has served as the Chief Investment Officer since 1 Aug 2015. Alex Wolff joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Edward Wilson Davis	Chief investment officer	1 Aug 2015	25% - 50%	2845024
Brian Matthew Agnew	Managing partner and portfolio manager	1 Aug 2015	Other	2456590
Ramius Llc	Member	1 Aug 2015	25% - 50%	151953
Andrea J.S. Sayago	Chief compliance officer	1 Aug 2015	Other	6042456
Cowen Investment Management Llc	Member	1 Aug 2015	25% - 50%	151953
Wade Gregory Wnuk	Chief compliance officer	1 Oct 2017	Other	4837681
Alex Wolff	Chief compliance officer	1 Apr 2018	Other	4985258

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Cowen Group	Parent	1 Nov 2009	75% - 100%	27-0423711
Cowen Inc.	Parent	1 Nov 2009	75% - 100%	27-0423711

Based in New York

The principal office where Caerus Investors, LLC performs its advisory services is located at 460 Park Avenue, New York, NY 10022 1808, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 488-5510. The normal business hours are 9:00 am to 5:00 pm (et) on Monday - Friday.