Warberg Asset Management LLC
Firm details
- Headquarters
- Winnetka, Illinois
- CRD number
- 164003
- Registered since
- June 29, 2012
- Custodians
- NATIONAL FINANCIAL SERVICES LLC, GOLDMAN SACHS & CO. LLC
- Fee structure
- Percentage of AUM, Performance Based Fees
- Client types
- Pooled Investment Vehicles90%
- Corporations / Businesses10%
- Services
- Portfolio Management for IndividualsPortfolio Management for Pooled Investment Vehicles
Firm profile
FINTRXOverview
Warberg Asset Management LLC is structured as an owner-operated hedge fund adviser that is SEC registered (registration year 2012). The firm serves primarily institutional clients and offers portfolio management across both individual/small business accounts and pooled investment vehicles. Its compensation includes asset-based fees along with performance-based (incentive) fees, consistent with an active hedge fund strategy. The firm does not identify as an active ESG investor and does not position itself as a multi-state or pension consultant adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities44%
- Investment Grade Corp Bonds41%
- Cash & Cash Equivalents10%
- Derivatives4%
- Non-Exchange Traded Equities1%
Owners & executives
FINTRXContacts
FINTRXWealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 2Active vs passive
$3.1M in ETFs
100%
$3.1M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES 20+ YEAR TREASURY BOND ETF (TLT) | BlackRock | Passive | Long Government | $2.8M | 36,000 | 90.11% |
Location
Winnetka, IL
Cook
Location
Winnetka, IL
Headquartered in Winnetka, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.
- Metro area
- Chicago-Naperville, IL-IN-WI
- Region
- Midwest
- County
- Cook
- Address
- 716 Oak St
- Time zone
- CT (UTC-6)
- Office locations
Similar firms
Hartline Investment Corporation
RIAWinnetka, IL
Rail-Splitter Capital Management LLC
RIAWinnetka, IL
Eastgate Capital Advisors LLC
RIAWinnetka, IL
Pilot Asset Management LLC
RIAWinnetka, IL
Van Ake Capital LLC
RIAWinnetka, IL
Kevin Hebson & Company
RIAWinnetka, IL