KLINGMAN AND ASSOCIATES, LLC
CRD #125618 SEC #801-67783 NEW YORK, NY 212-867-7647
SEC Registered
Total AUM
$4.8B
Discretionary
$1.4B
Employees
25
Clients
251
Accounts
3,132
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 13, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT | NA | Control |
| BROWN, NANCY, CAROLYN | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| LAUB, CRAIG | I | VICE PRESIDENT | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | E | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | D | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | D | Control |
| KLINGMAN, GERARD, ALBERT | I | PRESIDENT/MANAGING MEMBER | D | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| DELMORO, DANIEL, MICHAEL | I | DIRECTOR OF INVESTMENTS | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| KLINGMAN, THOMAS, JOSEPH | I | WEALTH ADVISOR | B | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | B | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | B | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | B | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | B | Control |
| PALEY, MICHAEL, DAVID | I | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | B | Control |
Registrations
Federal
IA
Mar 13, 2025 REGISTERED
Notice Filings (20)
AZ CA CO CT DC FL GA LA MA MD NC NE NH NJ NY PA SC TX VA WA
Address
120 WEST 45TH STREETSUITE 3800
NEW YORK, NY 10036
United States
Phone: 212-867-7647