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