# Lebenthal Diversified Asset Management Inc.

> 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.

- CRD: 167243
- Filed as: LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Hauppauge, NY
- Filing period: October 2026
- Form ADV filing dated: March 12, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/167243
- AdvisorCensus page: https://advisorcensus.com/firm/lebenthal-diversified-asset-management-inc-hauppauge-ny-167243

## Quick answers

**How is Lebenthal Diversified Asset Management Inc. compensated?**
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).

**How much does Lebenthal Diversified Asset Management Inc. charge?**
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.

**Where is Lebenthal Diversified Asset Management Inc. located?**
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).

**Is Lebenthal Diversified Asset Management Inc. registered with the SEC or a state?**
Lebenthal Diversified Asset Management Inc. is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 167243.

**How much does Lebenthal Diversified Asset Management Inc. manage?**
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).

**How have Lebenthal Diversified Asset Management Inc.'s assets and staff changed since 2021?**
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.

**Which custodians does Lebenthal Diversified Asset Management Inc. use?**
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.

**Does Lebenthal Diversified Asset Management Inc. report any disciplinary disclosures?**
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

**Does Lebenthal Diversified Asset Management Inc. state an account minimum?**
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."

**What changed in Lebenthal Diversified Asset Management Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $750,403,368 to $883,710,197 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 12, 2026)

- Asset-based fee: up to 2% of assets a year (the maximum the brochure states)

> 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.

- Account minimum: None

> We do not impose a minimum investment account size to start and maintain an advisory relationship.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Raymond James & Associates, Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $883,710,197
- Discretionary: $883,710,197
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Other investment advisers | Fewer than 5 | $883,710,197 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2013 (13 years)
- Employees: 5 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, CO, CT, FL, GA, IN, MA, NC, NH, NJ, NV, NY, PA, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Marco Island, FL

### Websites listed on Form ADV (Item 1.I)
- [lebenthal.com](https://lebenthal.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $533,515,422 | 5 | March 29, 2021 |
| October 2022 | $627,227,705 | 5 | March 24, 2022 |
| October 2023 | $572,427,567 | 5 | March 3, 2023 |
| October 2024 | $643,879,807 | 5 | March 4, 2024 |
| October 2025 | $750,403,368 | 5 | February 25, 2025 |
| October 2026 | $883,710,197 | 5 | March 12, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $750,403,368 to $883,710,197 (+18%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Lebenthal Diversified Asset Management Inc. (CRD 167243): Form ADV filing data as of October 2026.