Asset manager · Hauppauge, NY
Lebenthal Diversified Asset Management Inc.
SEC-registered investment adviser · CRD 167243 · SEC 801-77960
At a glance
Lebenthal Diversified Asset Management Inc. is an SEC-registered investment adviser based in Hauppauge, New York, with $884 million in regulatory assets under management as of its Form ADV filed March 12, 2026. Its largest client group by assets is other investment advisers. By Form ADV it is a asset manager, ranked 1,419th of 3,218 asset managers and 5,778th of 17,210 SEC-registered advisers by assets.
Main office 516-785-1800lebenthal.comAs filed on Form ADV
- Regulatory AUM
- $884M
- Rank among asset managers
- #1,419 of 3,218
- Rank among all SEC RIAs
- #5,778 of 17,210
- Rank in New York
- #1,215 of 2,591
- Clients
- 0
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 1
- Offices
- 2
Owners and executives on its Form ADV
- Dominick TavellaPresident, Chief Investment Officer
- Thomas F. KatovitzChief Compliance Officer
- Michael J. TavellaChief Financial Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Lebenthal Diversified Asset Management Inc. is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Lebenthal Financial Services, Inc..
- Lebenthal Financial Services, Inc. ↗CRD 137988
Its Form ADV brochure (filed March 2026) names Lebenthal Financial Services as the broker-dealer its advisers are registered with.
ng investment advice on behalf of our firm are registered representatives with Lebenthal Financial Services LLC ("LFS"), a securities broker-dealer, and a member of the Financial Industry Regulatory Authority and the Securities Investor Pr
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other investment advisers | – | $884M | 100% |
Disciplinary disclosures
Lebenthal Diversified Asset Management Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗lebenthal.com ↗
AtlasMembers
The full record on Lebenthal Diversified Asset Management Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,017 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Lebenthal Diversified Asset Management Inc. manage?
Lebenthal Diversified Asset Management Inc. reports $884 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 12, 2026.
What kind of firm is Lebenthal Diversified Asset Management Inc.?
Lebenthal Diversified Asset Management Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Lebenthal Diversified Asset Management Inc.’s clients?
By assets, its largest client types are other investment advisers ($884 million).
Does Lebenthal Diversified Asset Management Inc. have any disciplinary history?
Lebenthal Diversified Asset Management Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Lebenthal Diversified Asset Management Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →