KLINGENSTEIN FIELDS ADVISORS
KF GROUP, LP Legal Name
Adviser information for KLINGENSTEIN FIELDS ADVISORS last updated from Form ADV on March 28th, 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 | Limited Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 50 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $0 |
| Pension and profit sharing plans | 1 | $0 |
| Charitable organizations | 10 | $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 | 1 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)CONSULTING SERVICES TO NON-PROFIT ORGANIZATIONS |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-116774 |
|---|---|
| SEC ERA File Number | 801-116774 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304186 |
| Legal Entity Identifier | None |
Principal Office
125 PARK AVESUITE 1700
NEW YORK
NY
United States
Monday - Friday, 9:00 TO 5:00
Tel: 212-492-7000, Fax: 646-219-6638
Chief Compliance Officer
MARIA CHAMBERS
125 PARK AVENUE
SUITE 1700
NEW YORK
NY
United States
Tel:
212-492-6169
Fax:
646-219-6638
M*************@***************M
(Full email address available in API data)
Regulatory Contact
JONATHAN ROBERTS
PARTNER
125 PARK AVENUE
SUITE 1700
NEW YORK
NY
United States
Tel:
212-492-6177
Fax:
646-219-6638
J**********@***************M
(Full email address available in API data)
Industry Affiliates
| BGWS | Sponsor, GP, manager of pooled investment vehicles |
| K INVESTMENT MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| KLINGENSTEIN FIELDS ADVISORS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| THE SOLARIS ARA FUND, L.P. | PRINCIPALLY INVESTS IN SEPARATE ACCOUNTS OF INDIVIDUAL MONEY MANAGERS | $58.4M | $1.0M | 37 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| POLLINGER, KENNETH, DAVID | Individual | – | LIMITED PARTNER, CHAIRMAN AND CO-CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| FIELDS, KENNETH, HARVEY | Individual | – | LIMITED PARTNER AND EXECUTIVE CHAIRMAN | 01/2022 | < 5% |
| KF HOLDINGS GP, LLC | Domestic Entity | – | GENERAL PARTNER | 04/2019 | < 5% |
| G4 2007 K INVESTMENTS, L.L.C. | Domestic Entity | – | LIMITED PARTNER | 05/2019 | > 75% |
| CHAMBERS, MARIA | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2019 | < 5% |
| POLLINGER, KENNETH, DAVID | Individual | KF HOLDINGS GP, LLC | SOLE OWNER | 05/2019 | |
| POLLINGER, KENNETH, DAVID | Individual | ESTATE OF FREDERICK A. KLINGENSTEIN | EXECUTOR | 01/2019 | |
| KLINGENSTEIN MANAGEMENT CORPORATION | Domestic Entity | KF HOLDINGS GP, LLC | MANAGER | 05/2019 | |
| ESTATE OF FREDERICK A. KLINGENSTEIN | Domestic Entity | G4 2007 K INVESTMENTS, L.L.C. | MEMBER | 05/2019 | > 75% |
| FIELDS, KENNETH, HARVEY | Individual | ESTATE OF FREDERICK A. KLINGENSTEIN | EXECUTOR | 01/2019 | |
| FIELDS, JAMES, WAGNER | Individual | ESTATE OF FREDERICK A. KLINGENSTEIN | EXECUTOR | 01/2019 | |
| LEE, YUH-YNG | Individual | – | LIMITED PARTNER AND CHIEF FINANCIAL OFFICER | 01/2022 | < 5% |
| CURRY, SUSAN, H. | Individual | – | LIMITED PARTNER AND CHIEF OPERATIONS OFFICER | 06/2019 | < 5% |
| FIELDS, JAMES, WAGNER | Individual | – | LIMITED PARTNER, CO-CHIEF EXECUTIVE OFFICER AND PRESIDENT | 01/2022 | < 5% |
| ROBERTS, JONATHAN | Individual | – | LIMITED PARTNER | 06/2019 | < 5% |