KLINGENSTEIN FIELDS ADVISORS
Latest filing: Mar 28, 2024 (216 days ago)
AUM
$0
0% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
7
0% change vs. 1 year ago
40% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
NEW YORK, NY
125 PARK AVE, NEW YORK, NY, UNITED STATES, 10017-5529
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $0.0 |
| Total | $0.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 50 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 50 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
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 |
|---|---|---|---|
| KLINGENSTEIN, FIELDS & CO., L.P. | $4.6 | 105907 | |
| BGWS MANAGEMENT, LLC | $0.0 | - | |
| K INVESTMENTS MANAGER, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
15 active
| Name | Title |
|---|---|
| POLLINGER, KENNETH, DAVID | LIMITED PARTNER, CHAIRMAN AND CO-CHIEF EXECUTIVE OFFICER, SOLE OWNER, EXECUTOR |
| FIELDS, KENNETH, HARVEY | LIMITED PARTNER AND EXECUTIVE CHAIRMAN, EXECUTOR |
| CHAMBERS, MARIA | CHIEF COMPLIANCE OFFICER |
| FIELDS, JAMES, WAGNER | EXECUTOR, LIMITED PARTNER, CO-CHIEF EXECUTIVE OFFICER AND PRESIDENT |
| LEE, YUH-YNG | LIMITED PARTNER AND CHIEF FINANCIAL OFFICER |
| CURRY, SUSAN, H. | LIMITED PARTNER AND CHIEF OPERATIONS OFFICER |
| ROBERTS, JONATHAN | LIMITED PARTNER |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $0.0 | $0.0 | 0% | 7 | 0 | 0% |
| 2024-04-02 | $0.0 | $0.0 | 0% | 7 | 0 | 0% |
| 2023-04-04 | $0.0 | $0.0 | 0% | 7 | 0 | 0% |
| 2022-04-01 | $0.0 | $0.0 | 0% | 5 | 2 | 40% |
| 2021-04-05 | $0.0 | $0.0 | 0% | 5 | 2 | 40% |
| 2020-04-01 | $0.0 | $0.0 | 0% | 5 | 2 | 40% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, CA-10/23/2019, FL-03/30/2022, NY-10/23/2019 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV