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 an SEC-registered investment adviser organized as an LLC and operating as a hedge fund manager. Registered in 2012 and owned by an individual, the firm serves an institutional client base while also offering portfolio management for individuals, small businesses and pooled investment vehicles. Its compensation includes both a percentage-of-assets fee and performance-based fees. Warberg does not identify as an active ESG investor, is not a multi-state adviser, and does not position itself as a pension consultant or capital allocator.
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
1 of 1TRACY LANCASTER
CCO & CFOCRD 2349843
Contacts
3 of 3JONATHAN BLUMBERG
Fund ManagerCRD 2498923
DANIEL WARSH
Managing MemberCRD 1156953
BRIAN GRAD
Portfolio ManagerCRD 1689573
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 11Active vs passive
$11.8M in ETFs
100%
$11.8M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) ENERGY SELECT SECTOR SPDR(R) ETF (XLE) | State Street | Passive | Equity Energy | $1.8M | 28,903 | 15.04% |
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
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