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KLINGMAN AND ASSOCIATES, LLC
CRD 125618File 801-67783
APPROVED
Retail clients
Custody
Filing as of May 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$5.66B
Top 25% of cohort (national)
Discretionary AUM
$4.14B
Non-discretionary $1.53B
Clients
709
3,532 accounts
Employees
25
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 17, 2007
- Principal office
- 120 WEST 45TH STREET, SUITE 3800, NEW YORK, NY, 10036
- Phone
- 212-867-7647
- Website
- HTTP://WWW.KLINGMANRIA.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $5.66B
- Discretionary AUM
- $4.14B
- Non-discretionary AUM
- $1.53B
- Discretionary accounts
- 3,084
- Non-discretionary accounts
- 448
- Total accounts
- 3,532
- AUM per client
- $8.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $26.0M |
| High net worth individuals | 456 | $4.33B |
| Pension and profit sharing plans | Fewer than 5 | $1.21B |
| Individuals (other than high net worth individuals) | 248 | $98.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 660 | 709 | increased by49 |
| Apr 1, 2026 | AUM | $4,836,523,207 | $5,664,692,453 | increased by$828,169,246 |
| Apr 1, 2026 | Accounts | 3,132 | 3,532 | increased by400 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 19 | 25 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 547 | 660 | increased by113 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,120,211,209 | $4,836,523,207 | increased by$1,716,311,998 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,343 | 3,132 | increased by789 |
| Apr 1, 2022 | Employees | 18 | 19 | increased by1 |
| Apr 1, 2022 | Clients | 488 | 547 | increased by59 |
| Apr 1, 2022 | AUM | $2,700,574,582 | $3,120,211,209 | increased by$419,636,627 |
| Apr 1, 2022 | Accounts | 2,112 | 2,343 | increased by231 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “KLINGMAN ASSOCIATES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“KLINGMAN ASSOCIATES” may also match similarly-named firms). Confirm identity against each filing.
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.