Cohen Klingenstein, Llc
- Regulatory AUM
- $3.4B
- Discretionary
- $3.4B
- Clients
- 112
- Avg AUM / client
- $30.3M
- Accounts
- 114
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 14 | $3.7M | 0.11% |
| High net worth individuals | 76 | $134M | 3.96% |
| Pooled investment vehicles (non-investment companies) | 6 | $2.3B | 67.0% |
| Pension and profit sharing plans | Fewer than 5 clients | $13.1M | 0.39% |
| Charitable organizations | 10 | $962M | 28.4% |
| Other | 6 | $5.8M | 0.17% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $2.0B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Ck Diversified Fund Llc | Hedge Fund | Delaware | $2.0B | 64 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cohen, George, Michael | Managing Member, Chief Compliance Officer | Aug 2008 (18y) | 50% – 75% | |
| Klingenstein, Thomas, Davis | Managing Member | Aug 2008 (18y) | 50% – 75% |
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.
Private funds (1, $2.0B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Ck Diversified Fund Llc | Hedge Fund | $2.0B | $5.0M | 64 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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 RELEVANT DEADLINES. Status: Final Sanction Detail: REGISTRANT PAID THE CIVIL MONETARY PENALTY NOTED ABOVE BY WIRE ON JULY 27, 2021. NO PORTION OF THE PENALTY WAS WAIVED. REGISTRANT WAS ALSO CENSURED AND ORDERED TO CEASE AND DESIST FROM FUTURE VIOLATIONS OF SECTION 204 THE ADVISERS ACT AND RULES 204-1 AND 204-5 THEREUNDER. Summary: THE MATTER WAS SETTLED PURSUANT TO AN OFFER OF SETTLEMENT SUBMITTED BY REGISTRANT IN ANTICIPATION OF THE CEASE AND DESIST PROCEEDINGS BY THE SEC. THE SEC ISSUED ITS ORDER ON JULY 26, 2021. A CIVIL MONETARY PENALTY IN THE AMOUNT OF $97,523 WAS PAID TO THE SEC BY WIRE ON JULY 27, 2021.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Oppenheimer & Co. Inc. $1.1B (33% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 23, 2026.
View current Form ADV (SEC/IAPD) ↗