{"url":"https://nivawealth.com/firms/warberg-asset-management-164003","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164003","regulatoryAum":805869280,"crd":"164003","history":[{"filedOn":"2021-05-11","regulatoryAum":824112676,"clients":8,"employees":5,"offices":1},{"filedOn":"2022-06-14","regulatoryAum":818327415,"clients":9,"employees":7,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":827636167,"clients":9,"employees":8,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":826961572,"clients":9,"employees":9,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":862475002,"clients":9,"employees":10,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":805869280,"clients":9,"employees":10,"offices":1}],"secFileNumber":"801-76808","legalName":"Warberg Asset Management LLC","displayName":"Warberg Asset Management","slug":"warberg-asset-management-164003","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"716 Oak Street","city":"Winnetka","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60093"},"tradeNames":[],"registration":{"secApproved":"29 June 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":10,"advisory":7,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":805869280,"discretionary":799915805,"discretionaryAccounts":20,"nonDiscretionary":5953475,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":5,"regulatoryAum":725297563},{"label":"Corporations and other businesses","clients":4,"regulatoryAum":80571717}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":61243146},{"name":"Goldman Sachs & Co. 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They include 5 pooled investment vehicles and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Warberg Asset Management offer?","answer":"Warberg Asset Management provides portfolio management for individuals and small businesses and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Warberg Asset Management use?","answer":"Warberg Asset Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $61.2M and Goldman Sachs & Co. LLC (New York, NY), with $18.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Warberg Asset Management have?","answer":"Warberg Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Warberg Asset Management invest in?","answer":"At the end of its last fiscal year, Warberg Asset Management’s separately managed accounts held 44% exchange-traded equities, 41% investment grade corporate bonds, 10% cash and equivalents, 4% derivatives and 1% non-exchange-traded equities. It advises 5 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Warberg Asset Management?","answer":"Warberg Asset Management’s direct owners are Daniel Warsh (50% to 75%), Jonathan Blumberg (25% to 50%) and Brian Grad (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Warberg Asset Management get paid?","answer":"Warberg Asset Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Warberg Asset Management registered with the SEC?","answer":"Yes, Warberg Asset Management has been registered with the SEC as an investment adviser since 29 June 2012. Its CRD number is 164003 and its SEC file number is 801-76808.","source":"Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Warberg Asset Management?","answer":"Warberg Asset Management’s main office is at 716 Oak Street, Winnetka, IL 60093. 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