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Klingman AND Associates, LLC

Klingman AND Associates, LLC. CRD 125618

Klingman AND Associates, LLC logo

CRD: 125618

Klingman AND Associates, LLC

NEW York, NY, 10036
2128677647
klingmanria.com
$5.7B Total AUM
$4.1B Disc. AUM
19.1% 3Y CAGR
25 Employees
709 ADV. Clients
19 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company · Principal · Raymond James
Clients
Retail and Institutional
Platforms
RidgePrime alpha +more
Established Date
04-17-2007
Office Locations
1

Office Locations

120 West 45th Street Suite 3800 NEW York NY

About Klingman AND Associates, LLC

Klingman & Associates is a New York–based RIA serving retail and institutional clients with holistic wealth management, including financial planning, tax and estate planning, charitable strategies, retirement plan and insurance planning. Portfolios emphasize asset allocation and risk management across public funds and ETFs, with use of alternatives such as private equity/credit and hedge funds. The firm is recognized in Forbes and Barron’s rankings, and uses Tamarac with Schwab custody.

Team overview

49 AVG AGE
$404.6M AVG AUM / ADVISOR
$8.0M AVG AUM / CLIENT
6.5 yrs AVG TENURE
25 Employees
14 Advisory Reps
8 RIA Reps
19yrs Firm Age

Insights

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Asset Classes

Capital radial Horizon Pathway eagle Atlas pioneer Summit value Unison delta

Client Personas

Legacy

Custodian

Delta Prime eagle Beacon Focus frontier

Investment Themes

Unison ember Unison Timber pioneer Focus unison

Investment Vehicles

Oak prime

Platform

Glacier vertex

Services

Oak Insight Prime pathway Ember Glacier Ember foundation Foundation Optima Frontier North legacy

Technology

Prime Pathway Fusion fusion

Owner & Executives

GERARD ALBERT KLINGMAN

GERARD ALBERT KLINGMAN

Advisor, Managing Member, President

CRD
#1196667
Ownership
50% but less than 75%
(228) 733-5915
momentum.bridge@summitcapital.com
in linkedin.com/in/vector-vertex
D

DANIEL MICHAEL DELMORO

DIRECTOR OF INVESTMENTS, Wealth Advisor

CRD
--
Ownership
10% but less than 25%
(763) 462-3512
ember.pathway@harborcapital.com
in linkedin.com/in/ember-harbor
D

Delta meridian

Vertex quantum value

CRD
#62315
Ownership
18.3%
(255) 570-4501
harbor.bridge@alphacapital.com
in linkedin.com/in/horizon-capital

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Contacts

DOROTHY DECARLO

DOROTHY DECARLO

--

CRD
#4979403
(641) 520-8853
unison.vital@insightcapital.com
in linkedin.com/in/pioneer-radial
JOSHUA FOGEL KAYE

JOSHUA FOGEL KAYE

Wealth Advisor

CRD
#7230792
(451) 985-4353
unison.frontier@frontiercapital.com
in linkedin.com/in/catalyst-unison
F

Focus capital

Delta vertex legacy

CRD
#65610
(852) 898-4306
ridge.alpha@vectorcapital.com
in linkedin.com/in/frontier-prime

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
11-30-2022
12-12-2023
03-14-2024
03-20-2025
05-01-2026
Category Assets AVG. Account size
Discretionary $4,136,393,850 $1,341,243
Non-Discretionary $1,528,298,603 $3,411,381
Total $5,664,692,453 $1,603,820

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Separately Managed Accounts

Total SMA Asset: $5,664,692,453

$5.7B Total SMA
Public Funds:
9.8%
Municipal Bonds:
20.1%
Equity - Exchange:
22.3%
Cash:
12.2%
Other:
12.2%
U.S. Government/Agency:
23.4%
Asset class Assets Assets %
Public Funds $449,190,968 9.8%
Municipal Bonds $921,299,843 20.1%
Equity - Exchange $1,022,138,631 22.3%
Cash $559,196,919 12.2%
Other $559,196,919 12.2%
U.S. Government/Agency $1,072,558,026 23.4%
Total $4,583,581,306 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
FOUNDATION BEACON SUMMIT FUSION RADIAL 3C5V9S3FA FEPQR 8.18% $17,475,469
MATRIX GLACIER RADIAL CATALYST P3ZC7KHBU NTY 8.37% $104,135,695
ATLAS EAGLE ALPHA BRIDGE FOUNDATION EZP6WJ8HP VWG 10.93% $62,385,222
BEACON RIDGE PRIME MOMENTUM WA0Y9XFVB CUMN 3.75% $11,776,832
BRIDGE VITAL ELEMENT MERIDIAN 06865N8GI JJD 3.56% $94,054,601
ATLAS PIONEER SUMMIT MATRIX 2NCE8CWEC BHF 1.38% $115,335,221
FOUNDATION OAK ELEMENT RADIAL 9V37GE6BG JEN 3.77% $97,366,842
MERIDIAN PRIME PEAK INSIGHT SUMMIT 53FCSZQ4K ITI 9.10% $55,513,881

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