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LUMBARD & KELLNER, LLC
CRD 117196File 801-61888
APPROVED
Retail clients
Filing as of Mar 16, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$443.6M
Below cohort median (national)
Discretionary AUM
$443.6M
Clients
321
321 accounts
Employees
4
Above cohort median in NH
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Feb 14, 2003
- Principal office
- 5 HUTCHINGS DRIVE, HOLLIS, NH, 03049-0749
- Phone
- 603-465-7700
- Website
- HTTPS://WWW.LUMBARD.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $443.6M
- Discretionary AUM
- $443.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 321
- Non-discretionary accounts
- 0
- Total accounts
- 321
- AUM per client
- $1.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $213K |
| Charitable organizations | Fewer than 5 | $21.5M |
| High net worth individuals | 249 | $396.9M |
| Individuals (other than high net worth individuals) | 67 | $25.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.