Klingman And Associates, LLC
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
FINTRXOverview
Klingman And Associates, LLC is an independent, SEC-registered registered investment adviser formed in 2007 and organized as an LLC with individual ownership. The firm serves both individuals/families and institutional clients and provides financial planning and portfolio management for individuals and small businesses. Its fees are a mix of percentage-of-AUM and fixed-fee arrangements. Service emphasis is on public funds and managed portfolios rather than in-house capital allocation—FINTRX flags the firm as not acting as a capital allocator and not positioning as an active ESG investor. Klingman maintains an industry affiliation with an insurance company. The firm has appeared on industry lists, including Top RIA Firms by FA Magazine (2020) and recognition from Forbes in 2022, 2023 and 2024.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds73%
- State & Local Bonds10%
- Exchange Traded Equities9%
- Cash & Cash Equivalents4%
- US Government Bonds2%
Owners & executives
2 of 2
Michael Paley
Chief Operating OfficerCRD 6324110
Daniel Delmoro
Chief Investment OfficerCRD 5565004
Contacts
3 of 7Gerard Klingman
Founder and PresidentCRD 1196667
Dorothy Decarlo
Wealth AdvisorCRD 4979403
Craig Laub
Wealth AdvisorCRD 3212061
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 153Active vs passive
$2.3B in ETFs
99%
$2.3B
1%
$25.4M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $397M | 530,731 | 17.23% |
Location
New York, NY
New York
Location
New York, NY
Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- New York
- Address
- 120 W 45th St
- Time zone
- ET (UTC-5)
- Office locations
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