Investment adviser · CRD 105907

KLINGENSTEIN FIELDS ADVISORS

Investment adviser filing (IA)

KLINGENSTEIN, FIELDS & CO., L.P.

NEW YORK, NY, United States · Form ADV filed Jul 28, 2026

Regulatory AUM: $4.7B
Client accounts: 1,309
Employees: 39
Advisory professionals: 18

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	977	$3,903,189,260	83.1%
Charities	41	$445,464,402	9.5%
Pooled investment vehicles	12	$171,519,914	3.7%
Corporations & businesses	17	$109,774,342	2.3%
Individuals	260	$66,843,735	1.4%
Retirement plans	Fewer than 5	$2,041,648	0.0%

Filing source

Form ADV 2122611 · Jul 28, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

24 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

WERTHEIM VENTURES I, LLCPrivate Equity Fund · Last reported Jul 28, 2026$77.1MGross asset value

Auditor PKF O'CONNOR DAVIES NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

PKF O'CONNOR DAVIES
PCAOB 127

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-9196055839
Reported beneficial owners: 26
Minimum commitment: $5K

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

KLINGENSTEIN FIELDS VENTURE FUND, L.P.Venture Capital Fund · Last reported Jul 28, 2026$25.8MGross asset value

Fund administrator Q-BIZ SOLUTIONS, LLC WATERTOWN, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor COHNREZNICK LLP NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHNREZNICK LLP
PCAOB 596

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-2879275894
Reported beneficial owners: 44
Minimum commitment: $250K
Form D file number: 021-1720924

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

KLINGENSTEIN FIELDS VENTURE FUND II, L.P.Venture Capital Fund · Last reported Jul 28, 2026$23.3MGross asset value

Fund administrator Q-BIZ SOLUTIONS, LLC WATERTOWN, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor COHNREZNICK LLP NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHNREZNICK LLP
PCAOB 596

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-2801144157
Reported beneficial owners: 40
Minimum commitment: $250K
Form D file number: 021-3699907

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

KLINGENSTEIN FIELDS VENTURE FUND III, L.P.Venture Capital Fund · Last reported Jul 28, 2026$13.3MGross asset value

Form D fundraising filings

Klingenstein Fields Venture Fund III, L.P.

Fund administrator Q-BIZ SOLUTIONS, LLC WATERTOWN, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor COHNREZNICK LLP NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHNREZNICK LLP
PCAOB 596

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-7248971512
Reported beneficial owners: 32
Minimum commitment: $250K
Form D file number: 021-456375

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

K INVESTMENTS VIII LLCVenture Capital Fund · Last reported Jul 28, 2026$9.75MGross asset value

Auditor PKF O'CONNOR DAVIES, LLP NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

PKF O'CONNOR DAVIES, LLP
PCAOB 127

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-9024539437
Reported beneficial owners: 31
Minimum commitment: $50K

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

K INVESTMENTS VII, LLCPrivate Equity Fund · Last reported Jul 28, 2026$8.9MGross asset value

Auditor PKF O'CONNOR DAVIES, LLP NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

PKF O'CONNOR DAVIES, LLP
PCAOB 127

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-6180701661
Reported beneficial owners: 21
Minimum commitment: $50K

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

WERTHEIM TICKET FUND, LLCPrivate Equity Fund · Last reported Jul 28, 2026$6.69MGross asset value

Auditor PKF O'CONNOR DAVIES NEW YORK, New York, United States

Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

PKF O'CONNOR DAVIES
PCAOB 127

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-7920747805
Reported beneficial owners: 31
Minimum commitment: $5K

Form ADV 2122611 · Jul 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 28, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

125 PARK AVENUE, SUITE 320
NEW YORK, NY, 10017-5529, United States

CRD 105907

Filing source

Form ADV 2122611 · Jul 28, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.