LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC.
Adviser information for LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC. last updated from Form ADV on March 4th, 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 | New York, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,997 | $643.9M |
| Non-Discretionary | 0 | $0 |
| Total | 2,997 | $643.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 83 | $62.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $581.1M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 643.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| LEBENTHAL GLOBAL ADVISORS, LLC WRAP PROGRAM | LEBENTHAL GLOBAL ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-77960 |
|---|---|
| SEC ERA File Number | 801-77960 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167243 |
| Legal Entity Identifier | None |
Principal Office
200 PARKWAY DRIVE SOUTHSUITE 200
HAUPPAUGE
NY
United States
Monday - Friday, 9:00AM - 5:00 PM
Tel: 516-785-1800, Fax: 518-657-3149
Websites
Chief Compliance Officer
THOMAS KATOVITZ
200 PARKWAY DRIVE SOUTH
SUITE 200
HAUPPAUGE
NY
United States
Tel:
516-785-1800
Fax:
518-657-3149
T********@************M
(Full email address available in API data)
Regulatory Contact
DOMINICK TAVELLA
PRESIDENT
200 PARKWAY DRIVE SOUTH
STE.200
HAUPPAUGE
NY
United States
Tel:
516-785-1800
Fax:
518-657-3149
D*******@************M
(Full email address available in API data)
Industry Affiliates
| LEBENTHAL FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| LEBENTHAL GLOBAL ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TAVELLA, DOMINICK | Individual | – | PRESIDENT, CHIEF INVESTMENT OFFICER | 11/2011 | > 75% |
| KATOVITZ, THOMAS, FRANCIS | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| TAVELLA, MICHAEL, JOHN | Individual | – | CHIEF FINANCIAL OFFICER | 07/2017 | < 5% |