KLINGENSTEIN FIELDS ADVISORS
Latest filing: Jul 30, 2024 (92 days ago)
AUM
$4,590,005,998
6% change vs. 1 year ago
2% change vs. 3 years ago
33% change vs. 5 years ago
44% change vs. 10 years ago
Employee Count
40
0% change vs. 1 year ago
-7% change vs. 3 years ago
48% change vs. 5 years ago
33% change vs. 10 years ago
Main Office
NEW YORK, NY
125 PARK AVENUE, NEW YORK, NY, UNITED STATES, 10017-5529
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $3.9 |
| Non-Discretionary | $0.7 |
| Total | $4.6 |
| Client | AUM |
|---|---|
| Retail | $3.6 |
| Pooled | $0.4 |
| Institutional | $0.6 |
| Total | $4.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 248 | $0.1 |
| Average Individual AUM | $216,756 | |
| HNW | 958 | $3.5 |
| Average HNW AUM | $3,657,774 | |
| Retail Total | 1,206 | $3.6 |
| Average Retail AUM | $2,950,168 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | ORLANDO-FL-USA | $2.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $4.2 |
| Retail SMA AUM | $3.6 |
| Institutional SMA AUM | $0.6 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 59% | $2.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 9% | $0.4 |
| Municipal | 3% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 14% | $0.6 |
| Other Pools | 10% | $0.4 |
| Cash | 3% | $0.1 |
| Other | 2% | $0.1 |
| Total | 100% | $4.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BGWS MANAGEMENT, LLC | $0.0 | - | |
| K INVESTMENTS MANAGER, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| FIELDS, KENNETH, HARVEY | LIMITED PARTNER, EXECUTIVE CHAIRMAN, TRUSTEE FOR THE JOSEPH KLINGENSTEIN TRUST #2 DATED 7/25/74 FBO FREDERIC K A. KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES |
| CURRY, SUSAN, H. | LIMITED PARTNER AND CHIEF OPERATING OFFICER |
| POLLINGER, KENNETH, DAVID | LIMITED PARTNER, CHAIRMAN, CO-CHIEF EXECUTIVE OFFICER, TRUSTEE FOR THE JOSEPH KLINGENSTEIN TRUST #2 DATED 7/25/74 FBO FREDERIC K A. KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES |
| ROBERTS, JONATHAN | LIMITED PARTNER |
| FIELDS, JAMES, WAGNER | LIMITED PARTNER, CO-CHIEF EXECUTIVE OFFICER, PRESIDENT |
| CHAMBERS, MARIA | CHIEF COMPLIANCE OFFICER |
| LEE, YUH-YNG | LIMITED PARTNER AND CHIEF FINANCIAL OFFICER |
| ACH, LAURENCE, ERNEST | LIMITED PARTNER |
ADVDB.CO • SOURCE: SEC
Representatives
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KENNETH POLLINGER | NEW YORK | NY | S65|1995-05-19 | ||||||
| JONATHAN ROBERTS | NEW YORK | NY | S63|1986-06-24|S65|1991-10-21 | CHARTERED FINANCIAL ANALYST|CHARTERED INVESTMENT COUNSELOR | |||||
| JAMES FIELDS | NEW YORK | NY | |||||||
| LAURENCE ACH | NEW YORK | NY | S63|1987-10-22|S65|1991-11-04 | CHARTERED INVESTMENT COUNSELOR | |||||
| COLLEEN JONES | NEW YORK | NY | S63|1994-01-21|S65|1991-12-05 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $4.6 | $0.0 | 0% | 40 | 0 | 0% |
| 2024-04-02 | $4.6 | $0.0 | 0% | 40 | 0 | 0% |
| 2023-04-04 | $4.3 | $0.3 | 6% | 40 | 0 | 0% |
| 2022-04-01 | $5.2 | -$0.6 | -12% | 39 | 1 | 3% |
| 2021-04-05 | $4.5 | $0.1 | 2% | 43 | -3 | -7% |
| 2020-04-01 | $4.1 | $0.5 | 12% | 40 | 0 | 0% |
| 2019-04-01 | $3.5 | $1.1 | 33% | 27 | 13 | 48% |
| 2018-04-02 | $3.6 | $1.0 | 26% | 29 | 11 | 38% |
| 2017-04-01 | $3.1 | $1.4 | 46% | 30 | 10 | 33% |
| 2016-04-01 | $3.0 | $1.6 | 55% | 32 | 8 | 25% |
| 2015-04-01 | $3.2 | $1.4 | 42% | 30 | 10 | 33% |
| 2014-04-01 | $3.2 | $1.4 | 44% | 30 | 10 | 33% |
| 2013-04-01 | $4.0 | $0.6 | 14% | 37 | 3 | 8% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AZ-11/24/2015, CA-01/28/1989, CT-08/18/1997, DE-12/02/2003, FL-02/23/1989, IL-03/18/1998, MA-03/18/1994, MD-01/01/2000, NC-03/31/2023, NH-03/28/2024, NJ-04/10/1989, NY-11/02/1988, OH-11/01/2016, PA-03/20/2008, RI-03/30/2011, SC-03/31/2023, TX-02/14/2005, VA-02/02/1989, VI-03/31/2023, WA-08/02/1989 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV