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 a privately owned, SEC-registered investment adviser that operates as a hedge-fund-style manager with an institutional client focus. Registered in 2012 and structured as an LLC, the firm charges both percentage-of-assets and performance-based fees and provides portfolio management for individuals/small businesses as well as for pooled investment vehicles. It does not present itself as an active ESG investor, is not a multistate adviser, and is not described as a pension consultant or related adviser to another firm. The firm’s classification and fee profile indicate a manager that runs pooled vehicles alongside client-specific mandates. Warberg is not listed as a capital allocator; instead it appears to combine discretionary portfolio management with hedge-fund product management, using performance fees where applicable.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
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 3
Jonathan 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 1Active vs passive
$611K in ETFs
100%
$611K
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANECK JUNIOR GOLD MINERS ETF (GDXJ) | VanEck | Passive | Equity Precious Metals | $611K | 6,222 | 100.00% |
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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