{
  "crd_number": 167243,
  "slug": "lebenthal-diversified-asset-management-inc-hauppauge-ny-167243",
  "primary_business_name": "LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC.",
  "legal_name": "LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC.",
  "dbas": [],
  "city": "Hauppauge",
  "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": "2013-04-26",
  "years_registered": 13,
  "period": "2026-10-01",
  "filing_date": "2026-03-12",
  "carried_forward": false,
  "raum_total": 883710197.0,
  "raum_discretionary": 883710197.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 5,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other_investment_advisers": {
      "raum": 883710197.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CO",
    "CT",
    "FL",
    "GA",
    "IN",
    "MA",
    "NC",
    "NH",
    "NJ",
    "NV",
    "NY",
    "PA",
    "SC",
    "TX",
    "VA"
  ],
  "websites": [
    "https://lebenthal.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/167243",
  "city_as_filed": "HAUPPAUGE",
  "url": "https://advisorcensus.com/firm/lebenthal-diversified-asset-management-inc-hauppauge-ny-167243",
  "display_name": "Lebenthal Diversified Asset Management Inc.",
  "summary": "Lebenthal Diversified Asset Management Inc. is an SEC-registered investment advisory firm in Hauppauge, NY, registered since 2013, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 12, 2026.",
  "citation": "AdvisorCensus. Lebenthal Diversified Asset Management Inc. (CRD 167243): 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)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Lebenthal Diversified Asset Management Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Lebenthal Diversified Asset Management Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Lebenthal Diversified Asset Management Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated March 12, 2026 states: Asset-based fee: up to 2% 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 Lebenthal Diversified Asset Management Inc. located?",
      "a": "Lebenthal Diversified Asset Management Inc.'s principal office is in Hauppauge, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Lebenthal Diversified Asset Management Inc. registered with the SEC or a state?",
      "a": "Lebenthal Diversified Asset Management Inc. is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 167243."
    },
    {
      "q": "How much does Lebenthal Diversified Asset Management Inc. manage?",
      "a": "Lebenthal Diversified Asset Management Inc. reports $883,710,197 in regulatory assets under management in its Form ADV filing dated March 12, 2026 (100% discretionary)."
    },
    {
      "q": "How have Lebenthal Diversified Asset Management Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Lebenthal Diversified Asset Management Inc.: Regulatory assets under management: $533,515,422 in the October 2021 data and $883,710,197 in the October 2026 data, up 66%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "Which custodians does Lebenthal Diversified Asset Management Inc. use?",
      "a": "Lebenthal Diversified Asset Management Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Raymond James & Associates, Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Lebenthal Diversified Asset Management Inc. 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/167243"
    },
    {
      "q": "Does Lebenthal Diversified Asset Management Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 12, 2026 says: \"We do not impose a minimum investment account size to start and maintain an advisory relationship.\""
    },
    {
      "q": "What changed in Lebenthal Diversified Asset Management Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $750,403,368 to $883,710,197 (+18%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 533515422.0,
      "total_employees": 5,
      "filing_date": "2021-03-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 627227705.0,
      "total_employees": 5,
      "filing_date": "2022-03-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 572427567.0,
      "total_employees": 5,
      "filing_date": "2023-03-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 643879807.0,
      "total_employees": 5,
      "filing_date": "2024-03-04"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 750403368.0,
      "total_employees": 5,
      "filing_date": "2025-02-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 883710197.0,
      "total_employees": 5,
      "filing_date": "2026-03-12"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $750,403,368 to $883,710,197 (+18%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 12, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "2% of assets a year",
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "LDAM's Advisory Fee for portfolio management ranges up to 2.00%. The Advisory Fee will be calculated based on the value of the assets managed on the last day of the previous quarter, as determined by the account custodian."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "We do not impose a minimum investment account size to start and maintain an advisory relationship."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 2.0,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "LDAM's Advisory Fee for portfolio management ranges up to 2.00%. The Advisory Fee will be calculated based on the value of the assets managed on the last day of the previous quarter, as determined by the account custodian.",
      "We do not impose a minimum investment account size to start and maintain an advisory relationship."
    ],
    "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
    },
    {
      "name": "Raymond James & Associates, Inc.",
      "name_as_filed": "RAYMOND JAMES & ASSOCIATES, 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/lebenthal-diversified-asset-management-inc-hauppauge-ny-167243.md",
  "clients": [
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": true,
      "raum": 883710197.0
    }
  ],
  "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/167243",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}