DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

LEBENTHAL WEALTH ADVISORS, LLC

CRD 169612

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:9be3adcf-6a5a-ea42-db02-7e330c03b51a

Data as of Feb 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2013 to Feb 14, 2017
20 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: $45.3MItem 5.F on the latest filing (2017-02-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $45.3M
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: 2
Advisory employees: 2
Accounts: 92
SEC number: 801-78930
CRD: 169612
Filings on the tape: 20
First filed: Dec 5, 2013
Latest filed: Feb 14, 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
LEBENTHAL HOLDINGS LLC	MANAGING MEMBER	E	yes	03/2014	Mar 21, 2014	Feb 14, 2017
LEBENTHAL, ALEXANDRA	Ceo	Na	yes	06/2016	Sep 22, 2015	Feb 14, 2017
SCHULMAN, MONIQUE	Cco	Na	yes	03/2016	Mar 21, 2014	Feb 14, 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 ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$1.4B	N	yes	n/a
LEBENTHAL LISANTI CAPITAL GROWTH, LLC	n/a	Institutional manager	$432M	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

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	Feb 14, 2017	$45.3M	$45.3M	2	2	n/a	n/a	n/a
2015	Mar 9, 2016	$941M	$741M	22	17	n/a	n/a	n/a
2014	Mar 31, 2015	$346M	$176M	18	11	n/a	n/a	n/a
2013	Mar 21, 2014	$0	$0	9	2	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	$45.3M	$941M	-95.2%	$0	n/a	2	22	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
YORKBRIDGE WEALTH PARTNERS, LLC	3	Oct 6, 2016	Mar 10, 2020	NEW YORK, NY	Firm absorbed	Other	100.0%
MORGAN STANLEY	2	Jun 2, 2016	May 21, 2020	NEW YORK, NY	Team lift out	Other	25.0%

Relationships

Affiliated with (5)

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

Controls (3)

← SCHULMAN, MONIQUEOwnerCCO, ownership code NA, individual
Mar 21, 2014 to presentfactForm ADV
← LEBENTHAL, ALEXANDRAOwnerCEO, ownership code NA, individual
Sep 22, 2015 to presentfactForm ADV
← LEBENTHAL HOLDINGS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 21, 2014 to presentfactForm ADV

Moved with (2)

→ MORGAN STANLEYRegistered adviser2 advisors, team lift out
Jun 2, 2016 to May 21, 2020factForm ADV
→ YORKBRIDGE WEALTH PARTNERS, LLCRegistered adviser3 advisors, firm absorbed, same day
Oct 6, 2016 to Mar 10, 2020factForm ADV

Registered with (9)

← ANDREW LANE STERNAdvisorregistration: previous registration
Jun 2, 2014 to Oct 6, 2016factForm ADV
← CARRIE GALLAWAY MAGLIAAdvisorregistration: previous registration
May 12, 2014 to Oct 6, 2016factForm ADV
← LEIGH THOMAS MOGLIAAdvisorregistration: previous registration
May 12, 2014 to Oct 6, 2016factForm ADV
← BRENT WAYNE LEEAdvisorregistration: previous registration
Nov 3, 2014 to Jul 27, 2016factForm ADV
← JENNIFER LYNN DONAISAdvisorregistration: previous registration
Nov 2, 2015 to Jul 5, 2016factForm ADV
← CLAY ALAN SKURDALAdvisorregistration: previous registration
Oct 24, 2014 to Jun 28, 2016factForm ADV
← Alexander PINGOL TuasonAdvisorregistration: previous registration
May 13, 2014 to Jun 16, 2016factForm ADV
← JAMES JANECZEKAdvisorregistration: previous registration
May 12, 2014 to Jun 2, 2016factForm ADV
← WILLIAM DAVID BURKEAdvisorregistration: previous registration
May 4, 2015 to May 6, 2016factForm ADV

Dated events

Occurred
Dec 5, 2013
First Form ADV filing
Fern Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9be3adcf-6a5a-ea42-db02-7e330c03b51a
First observed: Dec 5, 2013
Last observed: Feb 14, 2017 116 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 WEALTH ADVISORS, LLC

CRD 169612

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:9be3adcf-6a5a-ea42-db02-7e330c03b51a

Data as of Feb 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEBENTHAL HOLDINGS LLC

MANAGING MEMBER

yes

03/2014

Mar 21, 2014

Feb 14, 2017

LEBENTHAL, ALEXANDRA

Ceo

yes

06/2016

Sep 22, 2015

Feb 14, 2017

SCHULMAN, MONIQUE

Cco

yes

03/2016

Mar 21, 2014

Feb 14, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEBENTHAL ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

LEBENTHAL LISANTI CAPITAL GROWTH, LLC

n/a

Institutional manager

$432M

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

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Feb 14, 2017

$45.3M

n/a

2015

Mar 9, 2016

$941M

$741M

n/a

2014

Mar 31, 2015

$346M

$176M

n/a

2013

Mar 21, 2014

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

$45.3M

$941M

-95.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

YORKBRIDGE WEALTH PARTNERS, LLC

Oct 6, 2016

Mar 10, 2020

NEW YORK, NY

Firm absorbed

Other

100.0%

MORGAN STANLEY

Jun 2, 2016

May 21, 2020

NEW YORK, NY

Team lift out

Other

25.0%