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CIM

Cowen Investment Management Portfolio holdings

AUM $12M
1-Year Est. Return 1.47%
This Fund
S&P 500
This Quarter Est. Return
+4.63%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$22.4M
AUM Growth
-$43.9M
Cap. Flow
-$44.5M
Cap. Flow %
-198.45%
Top 10 Hldgs %
100%
Holding
5
New
–
Increased
–
Reduced
1
Closed
2

Top Buys

No buys this quarter

Top Sells

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$44.3M
2
LBRDK icon
Liberty Broadband Class C
LBRDK
+$219K
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$48.7K

Sector Composition

Rank Sector Weight
1 Financials 61.46%
2 Industrials 0.89%
3 Communication Services 0%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LYG icon
1
Lloyds Banking Group
LYG
$91.3B
$13.8M 61.46%
4,421,183
– –
HTZWW
2
Hertz Global Holdings Warrants
HTZWW
$95.5M
$8.45M 37.66%
3,859,356
-20,000
-0.5% -$48.7K
STCN
3
DELISTED
Steel Connect, Inc. Common Stock
STCN
$199K 0.89%
18,830
– –
LBRDK icon
4
Liberty Broadband Class C
LBRDK
$5.15B
– –
-4,000
Closed -$219K
SMFG icon
5
Sumitomo Mitsui Financial
SMFG
$164B
– –
-3,301,575
Closed -$44.3M

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AMG
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B
Braslyn New Providence, Bahamas $7.81M AUM 338.68% 1-Year Est. Return
XS
XR Securities Chicago, Illinois $5.35M AUM 26.1% 1-Year Est. Return
AH
Aviva Holdings New Providence, Bahamas $20.5M AUM 117.01% 1-Year Est. Return
MFAM
M Financial Asset Management Portland, Oregon $20.6M AUM 4.99% 1-Year Est. Return
ZIMP
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RCI
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Cowen Investment Management's Q3 2024 Portfolio in Review

As of Q3 2024, Cowen Investment Management held 5 positions worth $22.4M, down 66% from $66.3M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management withdrew a net $44.5M in Q3 2024, closing 2 positions and reducing 1 holding. Its most notable exit was Sumitomo Mitsui Financial, an estimated $44.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 61% of assets, down from 85% a quarter earlier, followed by Industrials and Communication Services.

  • Cowen Investment Management's biggest Q3 2024 reduction was Hertz Global Holdings Warrants, cutting an estimated $48.7K.
  • Cowen Investment Management fully exited Sumitomo Mitsui Financial in Q3 2024, selling an estimated $44.3M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $22.4M portfolio in Q3 2024.
  • Cowen Investment Management opened 0 new positions and closed 2 in Q3 2024.
  • Cowen Investment Management's portfolio value fell 66% quarter-over-quarter to $22.4M.

Based on Cowen Investment Management's 13F filing for Q3 2024, filed 8 Nov 2024.