DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Lebenthal Asset Management, LLC

Former SEC-registered adviserNew York, New YorkCRD 146332SEC 801-68831IAPD
Latest filing Jul 7, 2017
First filing on the tape Mar 30, 2012 · 29 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.4B as of Mar 28, 2017
Mar 30, 2012$504M then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Mar 28, 2017
Mar 28, 20137 then
Employees (5.A)19 as of Mar 28, 2017
Mar 28, 20138 then
Private funds: no history
RAUM -4.2% over the last fiscal year+38% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Jul 7, 2017; every figure names its basis
RAUM per advisor
$94.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
7.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-4.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, subscription, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,418reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Maxwell Douglas Famigletti · Co-Ceo, Co-Ccocontrol
    since 06/2017 · owns less than 5%
  • David Michael Jamison · Co-Ceo,control
    since 06/2017 · owns less than 5%
Entity owners
  • Lebenthal Holdings, LLC · Sole Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Lebenthal Asset Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Atlanta, GA
What changed
consecutive filings, newest first
  • Accounts · 1,500 to 1,418
    Jan 24, 2017 to Mar 28, 2017
  • Advisory employees · 20 to 15
    Jan 24, 2017 to Mar 28, 2017
  • BD registered reps · 15 to 11
    Jan 24, 2017 to Mar 28, 2017
  • Employees · 28 to 19
    Jan 24, 2017 to Mar 28, 2017
  • Discretionary RAUM · $1.4B to $1.4B
    Jan 24, 2017 to Mar 28, 2017
  • Non-discretionary RAUM · $55.6M to $46.8M
    Jan 24, 2017 to Mar 28, 2017
  • RAUM · $1.5B to $1.4B
    Jan 24, 2017 to Mar 28, 2017
  • Accounts · 1,398 to 1,500
    Jan 11, 2016 to Mar 9, 2016
  • Employees · 27 to 28
    Jan 11, 2016 to Mar 9, 2016
  • Accounts · 1,315 to 1,398
    Nov 25, 2015 to Jan 11, 2016
  • Advisory employees · 17 to 20
    Nov 25, 2015 to Jan 11, 2016
  • BD registered reps · 14 to 15
    Nov 25, 2015 to Jan 11, 2016
  • Employees · 23 to 27
    Nov 25, 2015 to Jan 11, 2016
  • Discretionary RAUM · $930M to $1.4B
    Nov 25, 2015 to Jan 11, 2016
  • Non-discretionary RAUM · $34.2M to $55.6M
    Nov 25, 2015 to Jan 11, 2016
  • RAUM · $964M to $1.5B
    Nov 25, 2015 to Jan 11, 2016
  • Accounts · 1,070 to 1,315
    Mar 31, 2015 to Sep 22, 2015
  • Discretionary RAUM · $818M to $930M
    Mar 31, 2015 to Sep 22, 2015
  • Non-discretionary RAUM · $58.6M to $34.2M
    Mar 31, 2015 to Sep 22, 2015
  • RAUM · $877M to $964M
    Mar 31, 2015 to Sep 22, 2015
  • Accounts · 496 to 1,070
    Dec 23, 2014 to Mar 31, 2015
  • Advisory employees · 12 to 17
    Dec 23, 2014 to Mar 31, 2015
  • Employees · 19 to 23
    Dec 23, 2014 to Mar 31, 2015
  • Discretionary RAUM · $520M to $818M
    Dec 23, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $17.2M to $58.6M
    Dec 23, 2014 to Mar 31, 2015
  • RAUM · $537M to $877M
    Dec 23, 2014 to Mar 31, 2015
  • Advisory employees · 9 to 12
    Dec 11, 2014 to Dec 23, 2014
  • Employees · 16 to 19
    Dec 11, 2014 to Dec 23, 2014
  • Accounts · 458 to 496
    May 7, 2013 to Mar 31, 2014
  • Advisory employees · 5 to 9
    May 7, 2013 to Mar 31, 2014
  • BD registered reps · 7 to 14
    May 7, 2013 to Mar 31, 2014
  • Commission compensation · true to false
    May 7, 2013 to Mar 31, 2014
  • Employees · 8 to 16
    May 7, 2013 to Mar 31, 2014
  • State-registered IARs · 7 to 15
    May 7, 2013 to Mar 31, 2014
  • Discretionary RAUM · $389M to $520M
    May 7, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $19.8M to $17.2M
    May 7, 2013 to Mar 31, 2014
  • RAUM · $409M to $537M
    May 7, 2013 to Mar 31, 2014
  • Related adviser · false to true
    May 7, 2013 to Mar 31, 2014
  • Accounts · 514 to 458
    Dec 21, 2012 to Mar 28, 2013
  • BD registered reps · 6 to 7
    Dec 21, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026