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KLINGMAN AND ASSOCIATES, LLC

NEW YORK, NY · CRD 125618 · IAPD ↗ · klingmanria.com · 212-867-7647

$5.66BRegulatory AUM
14Advisory reps
25Employees
0Clients
More than 500Planning clients
0Private funds
22States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
June 2026 — KLINGMAN AND ASSOCIATES, LLC notice-filed in OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
April 2026 — KLINGMAN AND ASSOCIATES, LLC notice-filed in IL, VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2026 — KLINGMAN AND ASSOCIATES, LLC reports More than 500 financial-planning clients, up from 251-500.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
69
April 2025 — KLINGMAN AND ASSOCIATES, LLC reported RAUM up 48% ($3.28B -> $4.84B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.