KLINGMAN AND ASSOCIATES, LLC

CRD 125618File 801-67783

APPROVED

Retail clients

Custody

Filing as of May 1, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$5.66B

Top 25% of cohort (national)

Discretionary AUM

$4.14B

Non-discretionary $1.53B

Clients

709

3,532 accounts

Employees

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, 5G

Compensation

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 11

This 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.