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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

LEBENTHAL ASSET MANAGEMENT, LLC

CRD 146332

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3335fcf2-8654-8faf-fd28-6efcfdf81976

Data as of Jul 7, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jul 7, 2017
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4BItem 5.F on the latest filing (2017-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees: 15
Accounts: 1,418
SEC number: 801-68831
CRD: 146332
Filings on the tape: 29
First filed: Mar 30, 2012
Latest filed: Jul 7, 2017
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FAMIGLETTI, DOUGLAS, MAXWELL	CO-CEO, CO-CCO	Na	yes	06/2017	Jun 26, 2017	Jul 7, 2017
JAMISON, MICHAEL, DAVID	CO-CEO,	Na	yes	06/2017	Jun 26, 2017	Jul 7, 2017
LEBENTHAL HOLDINGS, LLC	SOLE MEMBER	E	yes	09/2007	Oct 18, 2012	Jul 7, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LEBENTHAL LISANTI CAPITAL GROWTH, LLC	n/a	Institutional manager	$432M	N	yes	n/a
LEBENTHAL WEALTH ADVISORS, LLC	n/a	Former SEC adviser	$45.3M	N	yes	n/a
LEBENTHAL PARTNERS LLC	n/a	Former SEC adviser	$0	N	yes	n/a
LEBENTHAL & CO., LLC	n/a	n/a	n/a	N	yes	n/a
LEBENTHAL FAMILY OFFICE	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 28, 2017	$1.4B	$1.4B	19	15	n/a	n/a	n/a
2015	Mar 9, 2016	$1.5B	$1.4B	28	20	n/a	n/a	n/a
2014	Mar 31, 2015	$877M	$818M	23	17	n/a	n/a	n/a
2013	Mar 31, 2014	$537M	$520M	16	9	n/a	n/a	n/a
2012	Mar 28, 2013	$409M	$389M	8	5	n/a	n/a	n/a
2011	Mar 30, 2012	$504M	$424M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$1.4B	$1.5B	-4.2%	$537M	38.3%	19	28	n/a	n/a

Relationships

Affiliated with (5)

→ LISANTI CAPITAL GROWTH LLCRegistered adviserother investment adviser, common control
factForm ADV
→ LEBENTHAL WEALTH ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ LEBENTHAL PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV
← LEBENTHAL WEALTH ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← LEBENTHAL PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← JAMISON, MICHAEL, DAVIDOwnerCO-CEO,, ownership code NA, individual
Jun 26, 2017 to presentfactForm ADV
← FAMIGLETTI, DOUGLAS, MAXWELLOwnerCO-CEO, CO-CCO, ownership code NA, individual
Jun 26, 2017 to presentfactForm ADV
← LEBENTHAL HOLDINGS, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Oct 18, 2012 to presentfactForm ADV

Registered with (13)

← BRENDAN ALEXANDER GOLDSTEINAdvisorregistration: previous registration
Jan 18, 2017 to Nov 16, 2017factForm ADV
← JAMES BEYMER LEBENTHALAdvisorregistration: previous registration
Aug 17, 2009 to Dec 31, 2016factForm ADV
← JOHN BRUNING CAREYAdvisorregistration: previous registration
May 17, 2010 to Dec 31, 2016factForm ADV
← BARBARA LEE DORANAdvisorregistration: previous registration
Aug 25, 2015 to Oct 6, 2016factForm ADV
← Alexander PINGOL TuasonAdvisorregistration: previous registration
Mar 28, 2014 to Jun 26, 2014factForm ADV
← JAMES JANECZEKAdvisorregistration: previous registration
Apr 1, 2014 to Jun 26, 2014factForm ADV
← LEIGH THOMAS MOGLIAAdvisorregistration: previous registration
Apr 1, 2014 to Jun 26, 2014factForm ADV
← MICHELLE MARIE SMITHAdvisorregistration: previous registration
Apr 5, 2012 to Sep 19, 2012factForm ADV
← JENNIFER GONZALEZAdvisorregistration: previous registration
Jan 7, 2010 to Mar 1, 2011factForm ADV
← COREY FRANCOAdvisorregistration: previous registration
Jun 11, 2009 to Aug 17, 2010factForm ADV
← DAVID PILLORIAdvisorregistration: previous registration
Mar 11, 2009 to Aug 6, 2010factForm ADV
← MITCHELL HOWARD HIRSCHAdvisorregistration: previous registration
Mar 10, 2008 to Apr 28, 2008factForm ADV
← KENNETH PHILLIP ARNOLDAdvisorregistration: previous registration
Mar 10, 2008 to Apr 28, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3335fcf2-8654-8faf-fd28-6efcfdf81976
First observed: Mar 30, 2012
Last observed: Jul 7, 2017 112 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LEBENTHAL ASSET MANAGEMENT, LLC

CRD 146332

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3335fcf2-8654-8faf-fd28-6efcfdf81976

Data as of Jul 7, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAMIGLETTI, DOUGLAS, MAXWELL

CO-CEO, CO-CCO

yes

06/2017

Jun 26, 2017

Jul 7, 2017

JAMISON, MICHAEL, DAVID

CO-CEO,

yes

06/2017

Jun 26, 2017

Jul 7, 2017

LEBENTHAL HOLDINGS, LLC

SOLE MEMBER

yes

09/2007

Oct 18, 2012

Jul 7, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEBENTHAL LISANTI CAPITAL GROWTH, LLC

n/a

Institutional manager

$432M

yes

n/a

LEBENTHAL WEALTH ADVISORS, LLC

n/a

Former SEC adviser

$45.3M

yes

n/a

LEBENTHAL PARTNERS LLC

n/a

Former SEC adviser

yes

n/a

LEBENTHAL & CO., LLC

n/a

yes

n/a

LEBENTHAL FAMILY OFFICE

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Atlanta

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 28, 2017

$1.4B

n/a

2015

Mar 9, 2016

$1.5B

$1.4B

n/a

2014

Mar 31, 2015

$877M

$818M

n/a

2013

Mar 31, 2014

$537M

$520M

n/a

2012

Mar 28, 2013

$409M

$389M

n/a

2011

Mar 30, 2012

$504M

$424M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$1.4B

$1.5B

-4.2%

$537M

38.3%

n/a