Data / Investment advisers / Illinois / Warberg Asset Management LLC
Warberg Asset Management LLC, Winnetka, IL: $806 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Warberg Asset Management LLC is an SEC registered investment adviser with its main office in Winnetka, Illinois and reports $806 million in regulatory assets under management in its Form ADV filed March 31, 2026. Its clients include pooled investment vehicles and corporations and other businesses. It is paid through a percentage of assets under management and performance based fees. It advises 5 private funds.
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- Registration
- SEC registered investment adviser
- CRD number
- 164003
- SEC file number
- 801-76808
- SEC status
- Approved, effective June 29, 2012
- Main office
- 716 Oak Street, Winnetka, IL 60093
- Phone
- (847) 418-8305
- Regulatory AUM
- $805,869,280 in the Form ADV filed March 31, 2026
- Discretionary AUM
- $799,915,805
- Non discretionary AUM
- $5,953,475
- Accounts
- 22
- Employees
- 10, of which 7 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, performance based fees
- Private funds
- 5: 5 hedge funds
- Gross assets of private funds
- $725,297,563
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 31, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 5 | $725.3 million |
| Corporations or other businesses | 4 | $80.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $805.9 million | March 31, 2026 |
| December 1, 2025 | $862.5 million | October 14, 2025 |
Other advisers in Illinois
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Oak Ridge Investments, LLC | Chicago | $1.70 billion | Not listed | adviserinfo.sec.gov |
| Rothschild Wealth LLC | Oakbrook | $1.70 billion | 2 | adviserinfo.sec.gov |
| Clearwater Capital Partners | Hoffman Estates | $1.68 billion | Not listed | adviserinfo.sec.gov |
| Advyzon Investment Management, LLC | Lisle | $1.68 billion | Not listed | adviserinfo.sec.gov |
| Muller & Monroe Asset Management,Llc | Chicago | $1.67 billion | 9 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Illinois
- Advisers with $500 million to $1 billion in AUM
- Advisers serving pooled investment vehicles
- Advisers serving corporations and other businesses
- Advisers that manage private funds
- Warberg Asset Management LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.