Warberg Asset Management LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Winnetka, IL. Its latest Form ADV filing, dated March 31, 2026, reports $806M in regulatory assets under management, 10 employees, and 22 accounts.
Portfolio management for individuals and small businesses
Portfolio management for pooled investment vehicles
Fee models offered
2 types reported
Asset based fees
Performance-based fees
Sources checked May 16, 2026
Client Coverage Demographics
Top client segmentPooled Investment Vehicles represent 55.6% of total clients.
Top client categories% of clientsClients
1
Pooled Investment Vehicles
55.6%
5
2
Corporations
44.4%
4
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$806Mas of March 31, 2026
Discretionary99.3%
$800M
99% of total RAUM99.3%
Non-discretionary0.7%
$6M
1% of total RAUM0.7%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$806M
Total Accounts22
10Y AUM Change+$605M (+301.5%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees10
Clients per Employee1:1
10Y Employee Change+6 (+150.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.