KLINGMAN AND ASSOCIATES, LLC

RIASEC RegisteredEst. 2007

Total AUM

$5.7B

Discretionary

$4.1B

73% of AUM

Avg account

$1.6M

Accounts

3,532

Employees

Advisory reps

Firm details

Headquarters: New York, New York
CRD number: 125618
Registered since: April 17, 2007
Website: www.klingmanria.com
Custodians: RAYMOND JAMES & ASSOCIATES, INC., PRINCIPAL SECURITIES, INC.
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI76.52%
Pension & Profit Sharing Plans21.28%
Individuals1.75%
Charitable Organizations0.46%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Klingman And Associates, LLC is an independently owned registered investment adviser that has been SEC-registered since 2007. Structured as an LLC with an individual owner, the firm serves a mix of individual, family and institutional clients and focuses on financial planning and discretionary and non-discretionary portfolio management for individuals and small businesses. Its fee arrangements include asset-based (percentage of AUM) billing as well as fixed-fee engagements. The firm reports no active ESG investing program, is not organized as a multi-state adviser, and does not act as a pension consultant or related adviser. Klingman maintains an industry affiliation with an insurance company. The firm has been recognized in industry lists, appearing in FA Magazine’s Top RIA Firms in 2020 and on Forbes’ Top/ America’s Top RIA Firms lists in 2022, 2023 and 2024.