LUMBARD & KELLNER, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	New Hampshire, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	113	$350.9M
Non-Discretionary	0	$0
Total	113	$350.9M

Clients

Type	Number	RAUM
Individuals	37	$30.8M
HNW Individuals	74	$305.2M
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	0	$0
Charitable organizations	<5	$14.9M
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

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-61888
SEC ERA File Number	801-61888
SEC CIK Numbers	1602476
SEC CRD Numbers	117196
Legal Entity Identifier	None

Principal Office

5 HUTCHINGS DRIVE
HOLLIS
NH
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic