Kohlberg & Co., L.L.C. (Mount Kisco)

Name: Kohlberg & Co., L.L.C.
Address: 111 Radio Circle, Mount Kisco, NY, 10549
Telephone: 914-241-7430

Kohlberg & Co., L.L.C. is a large advisory firm based in Mount Kisco. It manages $5.01 billion of regulatory assets for 38 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Kohlberg & Co., L.L.C provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kohlberg & Co., L.L.C: assets under management

The assets under management (AUM) of Kohlberg & Co., L.L.C. is $5.01 billion. The firm's AUM has grown by 47% since the beginning of its operation, and $1.88 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $4.9 billion in discretionary accounts and $106.15 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $132.54 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $106.15 million.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Kohlberg & Co., L.L.C. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Andrew Kohlberg serves?

The only and largest group of clients of James Andrew Kohlberg is pooled investment vehicles with 38 clients and $5.01 billion of assets under management. Among the 8 most similar advisory firms, Kohlberg & Co., L.L.C has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $5.01 billion for 38 clients. 29% of the firm’s clients are foreign persons or businesses.

Kohlberg & Co., L.L.C also advises several private funds. Namely, thirty private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $10,000,000.

Careers at Kohlberg & Co., L.L.C.

The company employs 48 people that are either part- or full-time employees. 71 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James Andrew Kohlberg has been acting as President since 1 Jan 2007. Gordon Woodward has served as the Chief Investment Officer since 1 Aug 2010. Daniel Stewart Gewanter joined the executive team most recently as the General Counsel & Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Christopher Lacovara	Partner	1 Jan 1995	Other	1715569
James A. Kohlberg Revocable Trust	Member - katonah capital, l.l.c.	1 Dec 1999	75% - 100%	11-3388703
Llc Kat Associates	Member - katonah capital, l.l.c.	1 Dec 1999	Other	13-4091865
Shant Zaven Mardirossian	Chief operating officer & chief compliance officer	1 Jan 2000	Other	4112245
Evan Donald Wildstein	Partner	1 Jan 2000	Other	2413231
Samuel Philip Frieder	Managing partner	1 Jan 2006	50% - 75%	4132445
Christopher William Anderson	Partner	1 Jan 2006	Other	2925410
James Andrew Kohlberg	Chairman	1 Jan 2007	25% - 50%	4109025
Seth Hollander	Partner	1 Jan 2009	Other	6028150
Gordon Woodward	Chief investment officer	1 Aug 2010	Other	6028143
Benjamin Jauyi Mao	Partner	1 Jan 2011	Other	3272426
Mv Investors General Partnership	Member - katonah capital, l.l.c.	1 Dec 2012	Other	65-1177583
Mark P Nappi	Chief financial officer	1 Jun 2013	Other	3260522
Ahmed I Wahla	Partner	1 Jan 2014	Other	4870846
Andrew Paul Bonanno	Partner	1 Jan 2016	Other	2499831
L.P. Kohlberg & Co.	Member	1 Jan 2017	75% - 100%	13-3850539
Daniel Stewart Gewanter	General counsel & chief compliance officer	1 Feb 2018	Other	4811549

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
James Andrew Kohlberg	Trustee	1 Dec 1999	Other	4109025
Gst Exempt 2003 U Trust	Partner	1 Apr 2003	75% - 100%	30-6049360
Samuel Philip Frieder	Managing partner & (sole member to kohlberg gp management, l.l.c., the general partner to kohlberg & co., l.p.	1 Jan 2017	75% - 100%	4132445
James Andrew Kohlberg	Chairman	1 Jan 2017	Other	4109025

Based in Mount Kisco

The principal office where Kohlberg & Co., L.L.C. performs its advisory services is located at 111 Radio Circle, Mount Kisco, NY 10549, which is also the mailing address of the firm. An additional office of the firm is in Portola Valley, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 914-241-7430 or by fax 914-241-1012. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at kohlberg.com.