KLEINFELDER CAPITAL, INC.
Adviser information for KLEINFELDER CAPITAL, INC. last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 942 | $243.9M |
| Non-Discretionary | 9 | $829,526 |
| Total | 951 | $244.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 334 | $65.8M |
| HNW Individuals | 144 | $178.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $815,205 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 243.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| KLEINFELDER CAPITAL WRAP FEE PROGRAM | KLEINFELDER CAPITAL, INC. |
Identifiers
| SEC RIA File Number | 801-111047 |
|---|---|
| SEC ERA File Number | 801-111047 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289345 |
| Legal Entity Identifier | None |
Principal Office
8050 HOSBROOK ROADSUITE 200
CINCINNATI
OH
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: (513) 808-9700, Fax: (513) 964-9446
Websites
Chief Compliance Officer
MICHAEL J. KLEINFELDER
PRESIDENT AND CHIEF EXECUTIVE OFFICER
8050 HOSBROOK ROAD
SUITE 200
CINCINNATI
OH
United States
Tel:
(513) 808-9700
Fax:
(513) 964-9446
M***************@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KLEINFELDER, MICHAEL, JOSEPH | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 07/2017 | > 75% |