EXOS ASSET MANAGEMENT LLC

https://www.exosfinancial.com PELHAM, NY Investment Advisor Hedge Fund How do I update this listing?

Exos Asset Management is based out of Pelham. Exos Asset Management is a hedge fund with 3 clients and discretionary assets under management (AUM) of $113,602,479 (Form ADV from 2021-07-16). Their last reported 13F filing for Q2 2021 included $192,082,000 in managed 13F securities and a top 10 holdings concentration of 12.51%. Exos Asset Management's largest holding is CA Healthcare Acquisition Corp Class A with shares held of 462,126. Whalewisdom has at least 3 13F filings

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06/30/2021

13F Activity

  • Market Value $192.649 Million
  • Prior Market Value $127.314 Million
  • New Purchases494 stocks
  • Additional Purchases81 stocks
  • Sold out of104 stocks
  • Reduced holdings in89 stocks
  • Top 10 Holdings % 12.48 %
  • Turnover % [1]:72.40%
  • Turnover Alt % [2]: 31.12 %
  • Time Held Top20:0.00 quarters
  • Time Held Top10:0.00 quarters
  • Time Held All:0.49 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 0.14%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

EXOS ASSET MANAGEMENT LLC
Classified as Hedge Fund
1023 ESPLANADE
PELHAM NY    10803
Country: United States

Business Phone: 212-498-8942
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 28
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 3
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.H (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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EXOS ASSET MANAGEMENT LLC

ownership team - last updated 2021-03-05
Name Title Start Date Direct/Indirect % Ownership
DOUGAN, BRADY, WILLIAM CHIEF EXECUTIVE OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION BOARD DIRECTOR, MANAGING DIRECTOR direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION BOARD MEMBER, MANAGING DIRECTOR direct 1997-03-01 2004-03-30
CREDIT SUISSE SECURITIES (USA) LLC BOARD MEMBER, PRESIDENT, CEO direct 2005-04-01 2007-04-25
EARLY, PETER, LYONS PARTNER, HEAD OF BUSINESS STRATEGY 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BIG SKY CAPITAL, LLC CHIEF INVESTMENT OFFICER/CCO direct 1998-10-01
GALLE GLOBAL MACRO PARTNERS, LLC PRESIDENT direct 2009-12-01
TREND CAPITAL MANAGEMENT LP PRESIDENT direct 2011-05-01
SOFI CAPITAL ADVISORS LLC PRESIDENT direct 2017-05-01
OSTERGAARD, JILL, WENZLAFF CHIEF COMPLIANCE OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY & CO., INCORPORATED CHIEF COMPLIANCE OFFICER - INSTITUTIONAL BUSINESS ONLY direct 2006-01-01
MORGAN STANLEY & CO., INCORPORATED CO-CHIEF COMPLIANCE OFFICER - ISG direct 2007-04-01
MORGAN STANLEY & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
BARCLAYS CAPITAL INC. CHIEF COMPLIANCE OFFICER - BD direct 2012-03-01
HAUF, JASON, WILLIAMS CHIEF FINANCIAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2020-03-01
HATSTADT, PHILIPPE, ANDRE CHIEF RISK OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC CHIEF RISK OFFICER direct 2020-03-01
EXOS TECHNOLOGY FINANCIAL PARTNERS LTD OWNER 03/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC OWNER direct 2020-03-01
RADEY, DONALD, NEIL CHIEF LEGAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CREDIT SUISSE SECURITIES (USA) LLC GENERAL COUNSEL direct 2005-08-01
DOUGAN, BRADY, WILLIAM CHIEF EXECUTIVE OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION BOARD DIRECTOR, MANAGING DIRECTOR direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION BOARD MEMBER, MANAGING DIRECTOR direct 1997-03-01 2004-03-30
CREDIT SUISSE SECURITIES (USA) LLC BOARD MEMBER, PRESIDENT, CEO direct 2005-04-01 2007-04-25
EARLY, PETER, LYONS PARTNER, HEAD OF BUSINESS STRATEGY 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BIG SKY CAPITAL, LLC CHIEF INVESTMENT OFFICER/CCO direct 1998-10-01
GALLE GLOBAL MACRO PARTNERS, LLC PRESIDENT direct 2009-12-01
TREND CAPITAL MANAGEMENT LP PRESIDENT direct 2011-05-01
SOFI CAPITAL ADVISORS LLC PRESIDENT direct 2017-05-01
OSTERGAARD, JILL, WENZLAFF CHIEF COMPLIANCE OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY & CO., INCORPORATED CHIEF COMPLIANCE OFFICER - INSTITUTIONAL BUSINESS ONLY direct 2006-01-01
MORGAN STANLEY & CO., INCORPORATED CO-CHIEF COMPLIANCE OFFICER - ISG direct 2007-04-01
MORGAN STANLEY & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
BARCLAYS CAPITAL INC. CHIEF COMPLIANCE OFFICER - BD direct 2012-03-01
HAUF, JASON, WILLIAMS CHIEF FINANCIAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2020-03-01
HATSTADT, PHILIPPE, ANDRE CHIEF RISK OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC CHIEF RISK OFFICER direct 2020-03-01
EXOS TECHNOLOGY FINANCIAL PARTNERS LTD OWNER 03/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC OWNER direct 2020-03-01
RADEY, DONALD, NEIL CHIEF LEGAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CREDIT SUISSE SECURITIES (USA) LLC GENERAL COUNSEL direct 2005-08-01
AYABUDGE LLC SHAREHOLDER EXOS TECHNOLOGY FINANCIAL PARTNERS LTD 11/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC SHAREHOLDER indirect 2018-11-01
DOUGAN, BRADY, WILLIAM SHAREHOLDER AYABUDGE LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION BOARD DIRECTOR, MANAGING DIRECTOR direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION BOARD MEMBER, MANAGING DIRECTOR direct 1997-03-01 2004-03-30
CREDIT SUISSE SECURITIES (USA) LLC BOARD MEMBER, PRESIDENT, CEO direct 2005-04-01 2007-04-25
AYABUDGE LLC SHAREHOLDER EXOS TECHNOLOGY FINANCIAL PARTNERS LTD 11/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC SHAREHOLDER indirect 2018-11-01
DOUGAN, BRADY, WILLIAM SHAREHOLDER AYABUDGE LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION BOARD DIRECTOR, MANAGING DIRECTOR direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION BOARD MEMBER, MANAGING DIRECTOR direct 1997-03-01 2004-03-30
CREDIT SUISSE SECURITIES (USA) LLC BOARD MEMBER, PRESIDENT, CEO direct 2005-04-01 2007-04-25

EXOS ASSET MANAGEMENT LLC

ownership team - last updated 2020-12-15
Name Title Start Date Direct/Indirect % Ownership
DOUGAN, BRADY, WILLIAM CHIEF EXECUTIVE OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION BOARD DIRECTOR, MANAGING DIRECTOR direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION BOARD MEMBER, MANAGING DIRECTOR direct 1997-03-01 2004-03-30
CREDIT SUISSE SECURITIES (USA) LLC BOARD MEMBER, PRESIDENT, CEO direct 2005-04-01 2007-04-25
OSTERGAARD, JILL, WENZLAFF CHIEF COMPLIANCE OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY & CO., INCORPORATED CHIEF COMPLIANCE OFFICER - INSTITUTIONAL BUSINESS ONLY direct 2006-01-01
MORGAN STANLEY & CO., INCORPORATED CO-CHIEF COMPLIANCE OFFICER - ISG direct 2007-04-01
MORGAN STANLEY & CO. LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
BARCLAYS CAPITAL INC. CHIEF COMPLIANCE OFFICER - BD direct 2012-03-01
HAUF, JASON, WILLIAMS CHIEF FINANCIAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2020-03-01
HATSTADT, PHILIPPE, ANDRE CHIEF RISK OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC CHIEF RISK OFFICER direct 2020-03-01
EARLY, PETER, LYONS PARTNER, HEAD OF BUSINESS STRATEGY 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
BIG SKY CAPITAL, LLC CHIEF INVESTMENT OFFICER/CCO direct 1998-10-01
GALLE GLOBAL MACRO PARTNERS, LLC PRESIDENT direct 2009-12-01
TREND CAPITAL MANAGEMENT LP PRESIDENT direct 2011-05-01
SOFI CAPITAL ADVISORS LLC PRESIDENT direct 2017-05-01
EXOS TECHNOLOGY FINANCIAL PARTNERS LTD OWNER 03/01/2020 Direct 75% or more
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC OWNER direct 2020-03-01
RADEY, DONALD, NEIL CHIEF LEGAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CREDIT SUISSE SECURITIES (USA) LLC GENERAL COUNSEL direct 2005-08-01
AYABUDGE LLC SHAREHOLDER EXOS TECHNOLOGY FINANCIAL PARTNERS LTD 11/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EXOS ASSET MANAGEMENT LLC SHAREHOLDER indirect 2018-11-01
DOUGAN, BRADY, WILLIAM SHAREHOLDER AYABUDGE LLC 07/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION BOARD DIRECTOR, MANAGING DIRECTOR direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION BOARD MEMBER, MANAGING DIRECTOR direct 1997-03-01 2004-03-30
CREDIT SUISSE SECURITIES (USA) LLC BOARD MEMBER, PRESIDENT, CEO direct 2005-04-01 2007-04-25

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EXOS SPAC OPPORTUNITIES I LLC United States 805-5481794481 Hedge Fund 3,250,000 1,000,000

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