{
  "crd_number": 105907,
  "slug": "klingenstein-fields-advisors-new-york-ny-105907",
  "primary_business_name": "KLINGENSTEIN FIELDS ADVISORS",
  "legal_name": "KLINGENSTEIN, FIELDS & CO., L.P.",
  "dbas": [
    "KLINGENSTEIN FIELDS ADVISORS"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1988-12-16",
  "years_registered": 37,
  "period": "2026-10-01",
  "filing_date": "2026-07-28",
  "carried_forward": false,
  "raum_total": 4698833301.0,
  "raum_discretionary": 3967042588.0,
  "raum_non_discretionary": 731790713.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 39,
  "advisory_employees": 18,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 445464402.0,
      "count": 41
    },
    "individuals": {
      "raum": 66843735.0,
      "count": 260
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 2041648.0,
      "count": 2,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 3903189260.0,
      "count": 977
    },
    "pooled_investment_vehicles": {
      "raum": 171519914.0,
      "count": 12
    },
    "corporations_other_businesses": {
      "raum": 109774342.0,
      "count": 17
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CT",
    "DE",
    "FL",
    "IL",
    "MA",
    "MD",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NY",
    "OH",
    "PA",
    "RI",
    "TX",
    "VA",
    "VI",
    "WA"
  ],
  "websites": [
    "https://instagram.com/klingensteinfieldsadvisors",
    "https://klingenstein.com",
    "https://linkedin.com/COMPANY/KLINGENSTEIN-FIELDS",
    "https://m.youtube.com/channel/UCn5QmtZImDHOpi_8ok1kupA",
    "https://twitter.com/KFADVISORS"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105907",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/klingenstein-fields-advisors-new-york-ny-105907",
  "display_name": "Klingenstein Fields Advisors",
  "summary": "Klingenstein Fields Advisors is an SEC-registered investment advisory firm in New York, NY, registered since 1988, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 28, 2026.",
  "citation": "AdvisorCensus. Klingenstein Fields Advisors (CRD 105907): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Klingenstein Fields Advisors compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Klingenstein Fields Advisors reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "What does Klingenstein Fields Advisors' brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Klingenstein Fields Advisors located?",
      "a": "Klingenstein Fields Advisors' principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Klingenstein Fields Advisors registered with the SEC or a state?",
      "a": "Klingenstein Fields Advisors is an SEC-registered investment advisory firm, registered since 1988. Status as filed: Approved. CRD 105907."
    },
    {
      "q": "How much does Klingenstein Fields Advisors manage?",
      "a": "Klingenstein Fields Advisors reports $4,698,833,301 in regulatory assets under management in its Form ADV filing dated July 28, 2026 (84% discretionary)."
    },
    {
      "q": "How have Klingenstein Fields Advisors' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Klingenstein Fields Advisors: Regulatory assets under management: $4,521,836,611 in the October 2021 data and $4,698,833,301 in the October 2026 data, up 4%. Total employees: 43 in October 2021 and 39 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Klingenstein Fields Advisors serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (977); individuals (other than high net worth individuals) (260); charitable organizations (41)."
    },
    {
      "q": "Which custodians does Klingenstein Fields Advisors use?",
      "a": "Klingenstein Fields Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Klingenstein Fields Advisors report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105907"
    },
    {
      "q": "What changed in Klingenstein Fields Advisors' recent Form ADV filings?",
      "a": "In the February 2026 filing data: Registered or notice-filed in NE."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 4521836611.0,
      "total_employees": 43,
      "filing_date": "2021-07-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 5227439916.0,
      "total_employees": 39,
      "filing_date": "2022-08-11"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 4314283487.0,
      "total_employees": 40,
      "filing_date": "2023-07-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 4590005998.0,
      "total_employees": 40,
      "filing_date": "2024-07-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 4737298353.0,
      "total_employees": 40,
      "filing_date": "2025-07-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 4698833301.0,
      "total_employees": 39,
      "filing_date": "2026-07-28"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Registered or notice-filed in NE."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "1% of assets a year",
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 1% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "As compensation for standard investment advisory services provided to clients, KF Advisors charges an investment advisory fee based upon the total market value of all managed assets in a client's account at an annual rate that ranges up to 1.00% percent annually"
        ]
      }
    ],
    "quotes": [
      "As compensation for standard investment advisory services provided to clients, KF Advisors charges an investment advisory fee based upon the total market value of all managed assets in a client's account at an annual rate that ranges up to 1.00% percent annually"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/klingenstein-fields-advisors-new-york-ny-105907.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 260,
      "fewer_than_5": false,
      "raum": 66843735.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 977,
      "fewer_than_5": false,
      "raum": 3903189260.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 12,
      "fewer_than_5": false,
      "raum": 171519914.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 2041648.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 41,
      "fewer_than_5": false,
      "raum": 445464402.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 17,
      "fewer_than_5": false,
      "raum": 109774342.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105907",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}