Lumbard & Kellner, Llc
- Regulatory AUM
- $444M
- Discretionary
- $444M
- Clients
- 321
- Avg AUM / client
- $1.4M
- Accounts
- 321
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 67 | $25.1M | 5.65% |
| High net worth individuals | 249 | $397M | 89.5% |
| Charitable organizations | 3 | $21.5M | 4.84% |
| Corporations and other businesses | 2 | $213K | 0.05% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Ashmore Lumbard | Manager | CFA | Feb 1990 (36y) | 50% – 75% |
| Coz, Peter, Boyd | Member | Apr 1990 (36y) | 5% – 10% | |
| Drew Dawson Kellner | Member, Chief Compliance Officer | CFA | Jun 2005 (21y) | 10% – 25% |
| Russell, Anne | Member | Jun 2013 (13y) | 10% – 25% | |
| James B Conway | Member | CFA | Oct 2020 (6y) | 5% – 10% |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 908 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- U.S. Bank $320M (72% of AUM) Mar 2026
- Charles Schwab & Co. $106M (24% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗