Klingman And Associates, Llc
- Regulatory AUM
- $5.7B
- Discretionary
- $4.1B
- Clients
- 709
- Avg AUM / client
- $8.0M
- Accounts
- 3,532
- Employees
- 25
AUM over time
Annual snapshots from Form ADV filings · as of May 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 248 | $98.9M | 1.75% |
| High net worth individuals | 456 | $4.3B | 76.5% |
| Pension and profit sharing plans | 3 | $1.2B | 21.3% |
| Charitable organizations | 2 | $26.0M | 0.46% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Williams & Connolly Llp Savings Plan And Trust Williams & Connolly Llp | 2024 | |
| Tishman Speyer Properties, Lp 401(k) Savings Plan Tishman Speyer Properties, Lp | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gerard Albert Klingman | President/Managing Member | CFP Chartered Financial Consultant | Mar 2001 (25y) | 50% – 75% |
| Michael David Paley | Chief Compliance Officer/Chief Operating Officer | Nov 2014 (12y) | 10% – 25% | |
| Thomas Joseph Klingman | Wealth Advisor | Jun 2021 (5y) | 10% – 25% | |
| Daniel Michael Delmoro | Director Of Investments | CFA | Jan 2022 (5y) | 10% – 25% |
| Craig Laub | Registered representative | CFP | Mar 2017 (9y) | |
| Michelle Lynn Mc Kinnon | Registered representative | CFP | Jun 2021 (5y) | |
| Sami Sharif | Registered representative | CFA | Jun 2021 (5y) | |
| Joshua Fogel Kaye | Registered representative | Aug 2021 (5y) | ||
| Dorothy Decarlo | Registered representative | Mar 2025 (1y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Williams & Connolly Llp Savings Plan And Trust | Williams & Connolly Llp | 651 | $162M | 01/01/2024 |
| Tishman Speyer Properties, Lp 401(k) Savings Plan | Tishman Speyer Properties, Lp | 918 | $269M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/01/2026 | 1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Raymond James $3.7B (66% of AUM) May 2026
- Principal Securities, Inc. $1.2B (21% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 01, 2026.
View current Form ADV (SEC/IAPD) ↗