{"url":"https://nivawealth.com/firms/kinderhook-industries-160193","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/160193","regulatoryAum":11463952589,"crd":"160193","secFileNumber":"801-73972","legalName":"Kinderhook Industries, LLC","displayName":"Kinderhook Industries","website":"https://www.kinderhook.com","linkedinUrl":"https://www.linkedin.com/company/kinderhookindustries","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"505 Fifth Avenue, 25th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10017-4910"},"tradeNames":[],"registration":{"secApproved":"20 March 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":30,"advisory":22,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":11463952589,"discretionaryAccounts":12,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":12,"regulatoryAum":11463952589}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Kinderhook Industries has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Lisa Schmidt","title":"Chief Financial Officer","crd":"6018927"},{"name":"Michael Iuliano","title":"Managing Director, General Counsel, and Chief Compliance Officer","crd":"5633359"},{"name":"Louis Aurelio","title":"Managing Director-Chief Administrative Officer","crd":"4424026"},{"name":"Robert Michalik","title":"Managing Director, Manager and Member","crd":"2168262"},{"name":"Christian Michalik","title":"Managing Director, Manager and Member","crd":"6018916"},{"name":"Thomas Tuttle","title":"Chairman, Manager and Member","crd":"2065730"}],"ownership":[{"label":"Thomas Tuttle","detail":"Chairman, manager and member in the 25% to 50% ownership band and a control person, since May 2003."},{"label":"Robert Michalik","detail":"Managing director, manager and member in the 25% to 50% ownership band and a control person, since May 2003."},{"label":"Christian Michalik","detail":"Managing director, manager and member in the 25% to 50% ownership band and a control person, since May 2003."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"505 Fifth Avenue, 25th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-201-6780","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":12},"sources":{"adv1FilingDate":"11 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/160193/PDF/160193.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Kinderhook Industries have?","answer":"Kinderhook Industries has 12 clients and manages $11.5 billion for them, as of August 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Kinderhook Industries offer?","answer":"Kinderhook Industries provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Kinderhook Industries have?","answer":"Kinderhook Industries has 0 investment adviser representatives registered with state securities authorities, out of 30 employees, and 22 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Kinderhook Industries?","answer":"Kinderhook Industries’ direct owners are Thomas Tuttle, Robert Michalik and Christian Michalik, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Kinderhook Industries get paid?","answer":"Kinderhook Industries is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}