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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

KLINGMAN AND ASSOCIATES, LLC

CRD 125618

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:8905a5d2-a151-9abf-b21b-8b38c4c5f060

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Mar 19, 2012 to May 1, 2026
43 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: independent wealth managerderivedprivate_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $5.7BItem 5.F on the latest filing (2026-05-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.1B
Private client RAUM: $4.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 78%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $629Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 25
Advisory employees: 14
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3,532
Individual clients: 248
High net worth clients: 456
Custody, client assets: $355M
SEC number: 801-67783
CIK: 1662449
CRD: 125618
Filings on the tape: 43
First filed: Mar 19, 2012
Latest filed: May 1, 2026
Organised: Limited Liability Company, NY
Website: klingmanria.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
GERARD ALBERT KLINGMAN	Certified Financial Planner\|Chartered Financial Consultant	NEW YORK, NY	19	42	n/a	no
CRAIG LAUB	Certified Financial Planner	NEW YORK, NY	9	27	n/a	no
SAMI SHARIF	Chartered Financial Analyst	NEW YORK, NY	5	13	2	no
MICHELLE LYNN McKINNON	Certified Financial Planner	NEW YORK, NY	5	14	1	no
THOMAS JOSEPH KLINGMAN	n/a	NEW YORK, NY	5	16	n/a	no
MICHAEL DAVID PALEY	n/a	NEW YORK, NY	5	12	n/a	no
JOSHUA FOGEL KAYE	n/a	NEW YORK, NY	5	10	n/a	no
DOROTHY DECARLO	n/a	NEW YORK, NY	1	13	2	no
DANIEL MICHAEL DELMORO	Chartered Financial Analyst	NEW YORK, NY	0	13	n/a	no

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
KLINGMAN, GERARD, ALBERT	PRESIDENT/MANAGING MEMBER	D	yes	03/2001	May 1, 2026	May 1, 2026
KLINGMAN, THOMAS, JOSEPH	WEALTH ADVISOR	B	yes	01/2022	May 1, 2026	May 1, 2026
PALEY, MICHAEL, DAVID	CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	B	yes	11/2014	May 1, 2026	May 1, 2026
DELMORO, DANIEL, MICHAEL	DIRECTOR OF INVESTMENTS	B	yes	01/2022	Mar 18, 2022	Mar 14, 2024

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
KLINGMAN RISK MANAGEMENT, LLC	n/a	n/a	n/a	Y	yes	n/a

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
2025	Mar 19, 2026	$5.7B	$4.1B	25	14	0	n/a	n/a
2024	Mar 20, 2025	$4.8B	$3.5B	25	14	0	n/a	n/a
2023	Mar 14, 2024	$3.3B	$3.0B	22	12	0	n/a	n/a
2022	Mar 8, 2023	$2.8B	$2.5B	22	13	0	n/a	n/a
2021	Mar 18, 2022	$3.1B	$2.9B	19	12	0	n/a	n/a
2020	Mar 10, 2021	$2.7B	$298M	18	11	0	n/a	n/a
2019	Mar 26, 2020	$2.1B	$1.8B	17	10	0	n/a	n/a
2018	Mar 22, 2019	$1.8B	$1.4B	14	8	0	n/a	n/a
2017	Mar 3, 2018	$1.8B	$1.4B	14	8	0	n/a	n/a
2016	Mar 14, 2017	$1.5B	$1.1B	13	6	n/a	n/a	n/a
2015	Mar 11, 2016	$1.4B	$989M	13	6	n/a	n/a	n/a
2014	Mar 27, 2015	$1.3B	$950M	14	6	n/a	n/a	n/a
2013	Mar 20, 2014	$1.1B	$881M	12	5	n/a	n/a	n/a
2012	Mar 25, 2013	$828M	$798M	14	5	n/a	n/a	n/a
2011	Mar 19, 2012	$671M	$669M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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
2025	$5.7B	$4.8B	17.1%	$2.8B	26.8%	25	25	0	0

Relationships

Registered with (9)

← DANIEL MICHAEL DELMOROAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← DOROTHY DECARLOAdvisorregistration: current employment
Mar 10, 2025 to presentfactForm ADV
← JOSHUA FOGEL KAYEAdvisorregistration: current employment
Aug 4, 2021 to presentfactForm ADV
← THOMAS JOSEPH KLINGMANAdvisorregistration: current employment
Jun 17, 2021 to presentfactForm ADV
← MICHAEL DAVID PALEYAdvisorregistration: current employment
Jun 17, 2021 to presentfactForm ADV
← SAMI SHARIFAdvisorregistration: current employment
Jun 1, 2021 to presentfactForm ADV
← MICHELLE LYNN McKINNONAdvisorregistration: current employment
Jun 1, 2021 to presentfactForm ADV
← CRAIG LAUBAdvisorregistration: current employment
Mar 10, 2017 to presentfactForm ADV
← GERARD ALBERT KLINGMANAdvisorregistration: current employment
May 2, 2007 to presentfactForm ADV

Controls (4)

← KLINGMAN, GERARD, ALBERTOwnerPRESIDENT/MANAGING MEMBER, ownership code D, individual
Mar 19, 2012 to Mar 14, 2024factForm ADV
← KLINGMAN, THOMAS, JOSEPHOwnerWEALTH ADVISOR, ownership code B, individual
Mar 18, 2022 to Mar 14, 2024factForm ADV
← DELMORO, DANIEL, MICHAELOwnerDIRECTOR OF INVESTMENTS, ownership code B, individual
Mar 18, 2022 to Mar 14, 2024factForm ADV
← PALEY, MICHAEL, DAVIDOwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER, ownership code B, individual
Nov 14, 2014 to Mar 14, 2024factForm ADV

Dated events

Occurred
Mar 20, 2025
Regulatory AUM changed
Klingman And Associates, Llc reported RAUM $4.8B, up 48% from $3.3B (2024-03-14 to 2025-03-20)
Form ADVobserved 6 days ago
$1.6B
Occurred
Mar 18, 2022
Control person joined
Joseph Thomas Klingman (Wealth Advisor) appeared on Schedule A of Klingman And Associates, Llc
Form ADVobserved 6 days ago
Occurred
Mar 18, 2022
Control person joined
Michael Daniel Delmoro (Director Of Investments) appeared on Schedule A of Klingman And Associates, Llc
Form ADVobserved 6 days ago
Occurred
Mar 10, 2021
Regulatory AUM changed
Klingman And Associates, Llc reported RAUM $2.7B, up 27% from $2.1B (2020-11-27 to 2021-03-10)
Form ADVobserved 6 days ago
$576M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8905a5d2-a151-9abf-b21b-8b38c4c5f060
First observed: Mar 19, 2012
Last observed: May 1, 2026 4 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.

KLINGMAN AND ASSOCIATES, LLC

CRD 125618

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:8905a5d2-a151-9abf-b21b-8b38c4c5f060

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:13 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

GERARD ALBERT KLINGMAN

Certified Financial Planner|Chartered Financial Consultant

NEW YORK, NY

n/a

CRAIG LAUB

Certified Financial Planner

NEW YORK, NY

n/a

SAMI SHARIF

Chartered Financial Analyst

NEW YORK, NY

MICHELLE LYNN McKINNON

Certified Financial Planner

NEW YORK, NY

THOMAS JOSEPH KLINGMAN

n/a

NEW YORK, NY

n/a

MICHAEL DAVID PALEY

n/a

NEW YORK, NY

n/a

JOSHUA FOGEL KAYE

n/a

NEW YORK, NY

n/a

DOROTHY DECARLO

n/a

NEW YORK, NY

DANIEL MICHAEL DELMORO

Chartered Financial Analyst

NEW YORK, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KLINGMAN, GERARD, ALBERT

PRESIDENT/MANAGING MEMBER

yes

03/2001

May 1, 2026

KLINGMAN, THOMAS, JOSEPH

WEALTH ADVISOR

yes

01/2022

May 1, 2026

PALEY, MICHAEL, DAVID

CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER

yes

11/2014

May 1, 2026

DELMORO, DANIEL, MICHAEL

DIRECTOR OF INVESTMENTS

yes

01/2022

Mar 18, 2022

Mar 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KLINGMAN RISK MANAGEMENT, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$5.7B

$4.1B

n/a

2024

Mar 20, 2025

$4.8B

$3.5B

n/a

2023

Mar 14, 2024

$3.3B

$3.0B

n/a

2022

Mar 8, 2023

$2.8B

$2.5B

n/a

2021

Mar 18, 2022

$3.1B

$2.9B

n/a

2020

Mar 10, 2021

$2.7B

$298M

n/a

2019

Mar 26, 2020

$2.1B

$1.8B

n/a

2018

Mar 22, 2019

$1.8B

$1.4B

n/a

2017

Mar 3, 2018

$1.8B

$1.4B

n/a

2016

Mar 14, 2017

$1.5B

$1.1B

n/a

2015

Mar 11, 2016

$1.4B

$989M

n/a

2014

Mar 27, 2015

$1.3B

$950M

n/a

2013

Mar 20, 2014

$1.1B

$881M

n/a

2012

Mar 25, 2013

$828M

$798M

n/a

2011

Mar 19, 2012

$671M

$669M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$5.7B

$4.8B

17.1%

$2.8B

26.8%