COHEN KLINGENSTEIN, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 148428). Regulatory assets under management: $3.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| George Michael Cohen | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | — |
| Thomas Davis Klingenstein | MANAGING MEMBER | — |
| COHEN GEORGE MICHAEL | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | — |
| KLINGENSTEIN THOMAS DAVIS | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-26 | regulatory | THE SEC ALLEGED THAT, IN 2020, REGISTRANT VIOLATED SECTION 204 OF THE ADVISERS ACT (AND RULES 204-1 AND 204-5 THEREUNDER) BY FAILING TO FILE ITS INITIAL FORM CRS WITH THE COMMISSION AS PART 3 OF THIS FORM ADV AND DELIVER ITS FORM CRS TO PROSPECTIVE, NEW OR CURRENT RETAIL INVESTOR CLIENTS, BY THE REL… | Final | $98K |