DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

KLINGENSTEIN FIELDS ADVISORS

KLINGENSTEIN, FIELDS & CO., L.P., CRD 105907

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:dc859d37-ddda-b865-699b-2820584e2fe1

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 3
On other graphs: 4
Observed: Nov 30, 2011 to Jul 28, 2026
54 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Klingenstein Fields Advisors

Venture manager · shared crd

Independent Sponsorsidentity

Klingenstein Fields Advisors

Capital provider to sponsors · shared crd

Private Equityidentity

Klingenstein Fields Advisors

Private equity manager · shared crd

Private Creditidentity

KLINGENSTEIN FIELDS ADVISORS

Private credit manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.04 institutional_share=0.1 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $4.7BItem 5.F on the latest filing (2026-07-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.0B
Private client RAUM: $4.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $940Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 39
Advisory employees: 18
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,309
Individual clients: 260
High net worth clients: 977
Private funds: 12Schedule D 7.B(1)
Custody, client assets: $2.6B
SEC number: 801-33347
CRD: 105907
Filings on the tape: 54
First filed: Nov 30, 2011
Latest filed: Jul 28, 2026
Organised: Limited Partnership, DE

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
JONATHAN ROBERTS	Chartered Financial Analyst\|Chartered Investment Counselor	NEW YORK, NY	21	40	n/a	no
LAURENCE ERNEST ACH	Chartered Investment Counselor	NEW YORK, NY	5	38	n/a	no
KENNETH DAVID POLLINGER	n/a	NEW YORK, NY	5	31	n/a	no
JAMES WAGNER FIELDS	n/a	NEW YORK, NY	5	15	n/a	no
David Beck Raphael	n/a	NEW YORK, NY \| San Mateo, CA	0	10	1	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
WERTHEIM VENTURES I, LLC	Private Equity Fund	$77.1M	Jul 28, 2026	26	Mar 28, 2012	reported	n/a
KLINGENSTEIN FIELDS VENTURE FUND, L.P.	Venture Capital Fund	$25.8M	Jul 28, 2026	44	Mar 29, 2019	reported	021-1720924
KLINGENSTEIN FIELDS VENTURE FUND II, L.P.	Venture Capital Fund	$23.3M	Jul 28, 2026	40	Mar 31, 2021	reported	021-3699907
KLINGENSTEIN FIELDS VENTURE FUND III, L.P.	Venture Capital Fund	$13.3M	Jul 28, 2026	32	Mar 31, 2023	reported	021-456375
KLINGENSTEIN FIELDS ASIA FUND, LP	Other Private Fund	$12.1M	Mar 30, 2016	43	Mar 28, 2012	dropped	021-151921
K INVESTMENTS VIII LLC	Venture Capital Fund	$9.7M	Jul 28, 2026	31	Apr 25, 2014	reported	n/a
K INVESTMENTS VII, LLC	Private Equity Fund	$8.9M	Jul 28, 2026	21	Mar 28, 2012	reported	n/a
WERTHEIM TICKET FUND, LLC	Private Equity Fund	$6.7M	Jul 28, 2026	31	Mar 28, 2012	reported	n/a
K INVESTMENTS VI, LLC	Private Equity Fund	$3.2M	Jul 28, 2026	39	Mar 28, 2012	reported	n/a
KLINGENSTEIN FIELDS GLOBAL FUND, LP	Other Private Fund	$2.8M	Mar 30, 2016	10	Mar 28, 2012	dropped	021-109298
K INVESTMENTS IV, LLC	Private Equity Fund	$2.6M	Jul 28, 2026	40	Mar 28, 2012	reported	n/a
K INVESTMENTS V, LLC	Private Equity Fund	$1.1M	Jul 28, 2026	40	Mar 28, 2012	reported	n/a
K INVESTMENT PARTNERS, LP III	Private Equity Fund	$845,799	Oct 18, 2013	30	Mar 28, 2012	dropped	n/a
K INVESTMENTS III, LLC	Private Equity Fund	$402,697	Jul 28, 2026	44	Mar 28, 2012	reported	n/a
K INVESTMENT PARTNERS, LP IV	Private Equity Fund	$348,616	Jul 16, 2019	0	Mar 28, 2012	dropped	n/a
KLINGENSTEIN CHARITABLE PARTNERS, 2ND AMENDMENT	Private Equity Fund	$290,714	Jul 16, 2019	0	Mar 28, 2012	dropped	n/a
KLINGENSTEIN CHARITABLE PARTNERS, B	Private Equity Fund	$211,446	Oct 18, 2013	18	Mar 28, 2012	dropped	n/a
K INVESTMENT PARTNERS, LP II	Private Equity Fund	$43,476	Jul 16, 2019	0	Mar 28, 2012	dropped	n/a
K INVESTMENTS II, LLC	Private Equity Fund	$34,362	Jul 30, 2024	38	Mar 28, 2012	dropped	n/a
K STATIONS, LLC	Private Equity Fund	$0	Mar 28, 2012	11	Mar 28, 2012	dropped	n/a
FK INVESTMENTS I, LLC	Private Equity Fund	$0	Jul 28, 2026	12	Mar 28, 2012	reported	n/a
K MEZZANINE PARTNERS I, LLC	Private Equity Fund	$0	Mar 28, 2012	6	Mar 28, 2012	dropped	n/a
WERTHEIM INTERNATIONAL LLC	Private Equity Fund	$0	Jul 29, 2021	0	Mar 28, 2012	dropped	n/a
K INVESTMENTS I, LLC	Private Equity Fund	$0	Dec 6, 2018	30	Mar 28, 2012	dropped	n/a

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
CHAMBERS, MARIA	CHIEF COMPLIANCE OFFICER	Na	yes	01/2017	Jul 28, 2026	Jul 28, 2026
CURRY, SUSAN, H.	LIMITED PARTNER AND CHIEF OPERATING OFFICER	A	yes	01/2022	Jul 28, 2026	Jul 28, 2026
FIELDS, JAMES, WAGNER	LIMITED PARTNER, CO-CHIEF EXECUTIVE OFFICER, PRESIDENT	B	yes	01/2022	Jul 28, 2026	Jul 28, 2026
FIELDS, KENNETH, HARVEY	LIMITED PARTNER, EXECUTIVE CHAIRMAN	B	yes	01/2022	Jul 28, 2026	Jul 28, 2026
JOSEPH KLINGENSTEIN TRUST #2 DATED	LIMITED PARTNER	B	yes	08/2020	Jul 28, 2026	Jul 28, 2026
LEE, YUH-YNG	LIMITED PARTNER AND CHIEF FINANCIAL OFFICER	Na	yes	01/2022	Jul 28, 2026	Jul 28, 2026
POLLINGER, KENNETH, DAVID	LIMITED PARTNER, CHAIRMAN, CO-CHIEF EXECUTIVE OFFICER	B	yes	01/2022	Jul 28, 2026	Jul 28, 2026
ROBERTS, JONATHAN	LIMITED PARTNER	A	yes	01/2022	Jul 28, 2026	Jul 28, 2026
JOSEPH KLINGENSTEIN TRUST #2 DATED 7/25/74 FBO FREDERICK A. KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES	LIMITED PARTNER	B	yes	08/2020	Nov 30, 2011	Jul 30, 2024
KLINGENSTEIN MANAGEMENT CORPORATION	GENERAL PARTNER	Na	yes	08/2020	Nov 30, 2011	Jul 30, 2024
ACH, LAURENCE, ERNEST	LIMITED PARTNER KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES	A	no	01/2022	Jul 28, 2026	Jul 28, 2026

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
BGWS MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
K INVESTMENTS MANAGER, LLC	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
WEST PALM BEACH	FL	United States	2	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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$4.7B	$4.0B	39	18	1	12	n/a
2024	Mar 31, 2025	$4.7B	$4.0B	40	18	1	12	n/a
2023	Mar 28, 2024	$4.6B	$3.9B	40	20	1	13	$378M
2022	Mar 31, 2023	$4.3B	$3.6B	40	19	1	13	$418M
2021	Mar 30, 2022	$5.2B	$4.3B	39	19	0	12	$383M
2020	Mar 31, 2021	$4.5B	$3.7B	43	21	0	13	$166M
2019	Mar 30, 2020	$4.1B	$3.4B	40	21	0	12	$201M
2018	Mar 29, 2019	$3.5B	$3.5B	27	13	0	15	$182M
2017	Mar 29, 2018	$3.6B	$3.6B	29	13	0	15	$147M
2016	Mar 15, 2017	$3.1B	$3.1B	30	13	n/a	15	$127M
2015	Mar 30, 2016	$3.0B	$3.0B	32	14	n/a	17	$159M
2014	Mar 31, 2015	$3.2B	$3.2B	30	12	n/a	17	$226M
2013	Mar 24, 2014	$3.2B	$3.1B	30	12	n/a	16	$211M
2012	Mar 22, 2013	$4.0B	$3.9B	37	17	n/a	18	$251M
2011	Mar 28, 2012	$3.9B	$3.8B	n/a	n/a	n/a	20	$262M

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
1	0	1	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	$4.7B	$4.7B	-0.8%	$4.3B	2.9%	39	40	1	1

Relationships

Affiliated with (1)

← KLINGENSTEIN FIELDS ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Registered with (5)

← David Beck RaphaelAdvisorregistration: current employment
Mar 30, 2026 to presentfactForm ADV
← JAMES WAGNER FIELDSAdvisorregistration: current employment
Sep 3, 2021 to presentfactForm ADV
← KENNETH DAVID POLLINGERAdvisorregistration: current employment
Sep 2, 2021 to presentfactForm ADV
← LAURENCE ERNEST ACHAdvisorregistration: current employment
Aug 30, 2021 to presentfactForm ADV
← JONATHAN ROBERTSAdvisorregistration: current employment
Mar 18, 2005 to presentfactForm ADV

Advises (24)

→ WERTHEIM TICKET FUND, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ K INVESTMENTS III, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ K INVESTMENTS VIII LLCPrivate fundVenture Capital Fund, IA
Apr 25, 2014 to presentfactForm ADV
→ WERTHEIM VENTURES I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ K INVESTMENTS VII, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ KLINGENSTEIN FIELDS VENTURE FUND II, L.P.Private fundVenture Capital Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ KLINGENSTEIN FIELDS VENTURE FUND, L.P.Private fundVenture Capital Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ FK INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ K INVESTMENTS VI, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ K INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ K INVESTMENTS V, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ KLINGENSTEIN FIELDS VENTURE FUND III, L.P.Private fundVenture Capital Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ K INVESTMENTS IV, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ WERTHEIM INTERNATIONAL LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Jul 29, 2021factForm ADV
→ K INVESTMENT PARTNERS, LP IVPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Jul 16, 2019factForm ADV
→ KLINGENSTEIN CHARITABLE PARTNERS, 2ND AMENDMENTPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Jul 16, 2019factForm ADV
→ K INVESTMENT PARTNERS, LP IIPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Jul 16, 2019factForm ADV
→ K INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Dec 6, 2018factForm ADV
→ KLINGENSTEIN FIELDS ASIA FUND, LPPrivate fundOther Private Fund, IA, no longer reported
Mar 28, 2012 to Mar 30, 2016factForm ADV
→ KLINGENSTEIN FIELDS GLOBAL FUND, LPPrivate fundOther Private Fund, IA, no longer reported
Mar 28, 2012 to Mar 30, 2016factForm ADV
→ K INVESTMENT PARTNERS, LP IIIPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Oct 18, 2013factForm ADV
→ KLINGENSTEIN CHARITABLE PARTNERS, BPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Oct 18, 2013factForm ADV
→ K STATIONS, LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 28, 2012factForm ADV
→ K MEZZANINE PARTNERS I, LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 28, 2012factForm ADV

Controls (9)

← CURRY, SUSAN, H.OwnerLIMITED PARTNER AND CHIEF OPERATING OFFICER, ownership code A, individual
Nov 30, 2011 to Jul 30, 2024factForm ADV
← POLLINGER, KENNETH, DAVIDOwnerLIMITED PARTNER, CHAIRMAN, CO-CHIEF EXECUTIVE OFFICER, ownership code B, individual
Nov 30, 2011 to Jul 30, 2024factForm ADV
← ROBERTS, JONATHANOwnerLIMITED PARTNER, ownership code A, individual
Nov 30, 2011 to Jul 30, 2024factForm ADV
← FIELDS, KENNETH, HARVEYOwnerLIMITED PARTNER, EXECUTIVE CHAIRMAN, ownership code B, individual
Nov 30, 2011 to Jul 30, 2024factForm ADV
← FIELDS, JAMES, WAGNEROwnerLIMITED PARTNER, CO-CHIEF EXECUTIVE OFFICER, PRESIDENT, ownership code B, individual
Nov 30, 2011 to Jul 30, 2024factForm ADV
← CHAMBERS, MARIAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 15, 2017 to Jul 30, 2024factForm ADV
← LEE, YUH-YNGOwnerLIMITED PARTNER AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2019 to Jul 30, 2024factForm ADV
← JOSEPH KLINGENSTEIN TRUST #2 DATED 7/25/74 FBO FREDERICK A. KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEESOwnerLIMITED PARTNER, ownership code B, domestic entity
Nov 30, 2011 to Jul 30, 2024factForm ADV
← KLINGENSTEIN MANAGEMENT CORPORATIONOwnerGENERAL PARTNER, ownership code NA, domestic entity
Nov 30, 2011 to Jul 30, 2024factForm ADV

Owns (1)

← ACH, LAURENCE, ERNESTOwnerLIMITED PARTNER, ownership code A, individual
Sep 16, 2020 to Jul 30, 2024factForm ADV

Dated events

Occurred
Aug 28, 2020
Succession filed (Item 4)
Klingenstein Fields Wealth Advisors reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person left
Frederick Klingenstein (Member, Chairman Emeritus) no longer on Schedule A of Klingenstein Fields Advisors (listed 2018-12-06, absent 2019-03-29)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person left
John Klingenstein (Member) no longer on Schedule A of Klingenstein Fields Advisors (listed 2018-12-06, absent 2019-03-29)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc859d37-ddda-b865-699b-2820584e2fe1
First observed: Nov 30, 2011
Last observed: Jul 28, 2026 55 days 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.

KLINGENSTEIN FIELDS ADVISORS

KLINGENSTEIN, FIELDS & CO., L.P., CRD 105907

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:dc859d37-ddda-b865-699b-2820584e2fe1

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JONATHAN ROBERTS

Chartered Financial Analyst|Chartered Investment Counselor

NEW YORK, NY

n/a

LAURENCE ERNEST ACH

Chartered Investment Counselor

NEW YORK, NY

n/a

KENNETH DAVID POLLINGER

n/a

NEW YORK, NY

n/a

JAMES WAGNER FIELDS

n/a

NEW YORK, NY

n/a

David Beck Raphael

n/a

NEW YORK, NY | San Mateo, CA

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WERTHEIM VENTURES I, LLC

Private Equity Fund

$77.1M

Jul 28, 2026

Mar 28, 2012

reported

n/a

KLINGENSTEIN FIELDS VENTURE FUND, L.P.

Venture Capital Fund

$25.8M

Jul 28, 2026

Mar 29, 2019

reported

021-1720924

KLINGENSTEIN FIELDS VENTURE FUND II, L.P.

Venture Capital Fund

$23.3M

Jul 28, 2026

Mar 31, 2021

reported

021-3699907

KLINGENSTEIN FIELDS VENTURE FUND III, L.P.

Venture Capital Fund

$13.3M

Jul 28, 2026

Mar 31, 2023

reported

021-456375

KLINGENSTEIN FIELDS ASIA FUND, LP

Other Private Fund

$12.1M

Mar 30, 2016

Mar 28, 2012

dropped

021-151921

K INVESTMENTS VIII LLC

Venture Capital Fund

$9.7M

Jul 28, 2026

Apr 25, 2014

reported

n/a

K INVESTMENTS VII, LLC

Private Equity Fund

$8.9M

Jul 28, 2026

Mar 28, 2012

reported

n/a

WERTHEIM TICKET FUND, LLC

Private Equity Fund

$6.7M

Jul 28, 2026

Mar 28, 2012

reported

n/a

K INVESTMENTS VI, LLC

Private Equity Fund

$3.2M

Jul 28, 2026

Mar 28, 2012

reported

n/a

KLINGENSTEIN FIELDS GLOBAL FUND, LP

Other Private Fund

$2.8M

Mar 30, 2016

Mar 28, 2012

dropped

021-109298

K INVESTMENTS IV, LLC

Private Equity Fund

$2.6M

Jul 28, 2026

Mar 28, 2012

reported

n/a

K INVESTMENTS V, LLC

Private Equity Fund

$1.1M

Jul 28, 2026

Mar 28, 2012

reported

n/a

K INVESTMENT PARTNERS, LP III

Private Equity Fund

$845,799

Oct 18, 2013

Mar 28, 2012

dropped

n/a

K INVESTMENTS III, LLC

Private Equity Fund

$402,697

Jul 28, 2026

Mar 28, 2012

reported

n/a

K INVESTMENT PARTNERS, LP IV

Private Equity Fund

$348,616

Jul 16, 2019

Mar 28, 2012

dropped

n/a

KLINGENSTEIN CHARITABLE PARTNERS, 2ND AMENDMENT

Private Equity Fund

$290,714

Jul 16, 2019

Mar 28, 2012

dropped

n/a

KLINGENSTEIN CHARITABLE PARTNERS, B

Private Equity Fund

$211,446

Oct 18, 2013

Mar 28, 2012

dropped

n/a

K INVESTMENT PARTNERS, LP II

Private Equity Fund

$43,476

Jul 16, 2019

Mar 28, 2012

dropped

n/a

K INVESTMENTS II, LLC

Private Equity Fund

$34,362

Jul 30, 2024

Mar 28, 2012

dropped

n/a

K STATIONS, LLC

Private Equity Fund

Mar 28, 2012

dropped

n/a

FK INVESTMENTS I, LLC

Private Equity Fund

Jul 28, 2026

Mar 28, 2012

reported

n/a

K MEZZANINE PARTNERS I, LLC

Private Equity Fund

Mar 28, 2012

dropped

n/a

WERTHEIM INTERNATIONAL LLC

Private Equity Fund

Jul 29, 2021

Mar 28, 2012

dropped

n/a

K INVESTMENTS I, LLC

Private Equity Fund

Dec 6, 2018

Mar 28, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHAMBERS, MARIA

CHIEF COMPLIANCE OFFICER

yes

01/2017

Jul 28, 2026

CURRY, SUSAN, H.

LIMITED PARTNER AND CHIEF OPERATING OFFICER

yes

01/2022

Jul 28, 2026

FIELDS, JAMES, WAGNER

LIMITED PARTNER, CO-CHIEF EXECUTIVE OFFICER, PRESIDENT

yes

01/2022

Jul 28, 2026

FIELDS, KENNETH, HARVEY

LIMITED PARTNER, EXECUTIVE CHAIRMAN

yes

01/2022

Jul 28, 2026

JOSEPH KLINGENSTEIN TRUST #2 DATED

LIMITED PARTNER

yes

08/2020

Jul 28, 2026

LEE, YUH-YNG

LIMITED PARTNER AND CHIEF FINANCIAL OFFICER

yes

01/2022

Jul 28, 2026

POLLINGER, KENNETH, DAVID

LIMITED PARTNER, CHAIRMAN, CO-CHIEF EXECUTIVE OFFICER

yes

01/2022

Jul 28, 2026

ROBERTS, JONATHAN

LIMITED PARTNER

yes

01/2022

Jul 28, 2026

JOSEPH KLINGENSTEIN TRUST #2 DATED 7/25/74 FBO FREDERICK A. KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES

LIMITED PARTNER

yes

08/2020

Nov 30, 2011

Jul 30, 2024

KLINGENSTEIN MANAGEMENT CORPORATION

GENERAL PARTNER

yes

08/2020

Nov 30, 2011

Jul 30, 2024

ACH, LAURENCE, ERNEST

LIMITED PARTNER KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES KLINGENSTEIN AND HIS ISSUE, FAK, KHF & KDP TRUSTEES

01/2022

Jul 28, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BGWS MANAGEMENT, LLC

n/a

yes

n/a

K INVESTMENTS MANAGER, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

WEST PALM BEACH

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$4.7B

$4.0B

n/a

2024

Mar 31, 2025

$4.7B

$4.0B

n/a

2023

Mar 28, 2024

$4.6B

$3.9B

$378M

2022

Mar 31, 2023

$4.3B

$3.6B

$418M

2021

Mar 30, 2022

$5.2B

$4.3B

$383M

2020

Mar 31, 2021

$4.5B

$3.7B

$166M

2019

Mar 30, 2020

$4.1B

$3.4B

$201M

2018

Mar 29, 2019

$3.5B

$182M

2017

Mar 29, 2018

$3.6B

$147M

2016

Mar 15, 2017

$3.1B

n/a

$127M

2015

Mar 30, 2016

$3.0B

n/a

$159M

2014

Mar 31, 2015

$3.2B

n/a

$226M

2013

Mar 24, 2014

$3.2B

$3.1B

n/a

$211M

2012

Mar 22, 2013

$4.0B

$3.9B

n/a

$251M

2011

Mar 28, 2012

$3.9B

$3.8B

n/a

$262M

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

$4.7B

-0.8%

$4.3B

2.9%