{"url":"https://nivawealth.com/firms/lebenthal-diversified-asset-management-167243","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/167243","regulatoryAum":883710197,"crd":"167243","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1069864","suffix":null,"lastName":"TAVELLA","firstName":"DOMINICK","middleName":null}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-29","regulatoryAum":533515422,"clients":37,"employees":5,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":627227705,"clients":69,"employees":5,"offices":1},{"filedOn":"2023-03-03","regulatoryAum":572427567,"clients":73,"employees":5,"offices":1},{"filedOn":"2024-03-04","regulatoryAum":643879807,"clients":83,"employees":5,"offices":2},{"filedOn":"2025-02-25","regulatoryAum":750403368,"clients":0,"employees":5,"offices":2},{"filedOn":"2026-03-12","regulatoryAum":883710197,"clients":0,"employees":5,"offices":2}],"secFileNumber":"801-77960","legalName":"Lebenthal 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assets.","otherCustodians":[],"leadership":[{"name":"Dominick Tavella","title":"President, Chief Investment Officer","crd":"1069864"},{"name":"Michael Tavella","title":"Chief Financial Officer","crd":"6106362"},{"name":"Thomas Katovitz","title":"Chief Compliance Officer","crd":"1136616"}],"ownership":[{"label":"Dominick Tavella","detail":"President, chief investment officer in the 75% or more ownership band and a control person, since November 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"606 Bald Eagle Drive","city":"Marco Island"}]},{"state":"New York","offices":1,"addresses":[{"street":"200 Parkway Drive South, Suite 200","city":"Hauppauge","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"516-785-1800","stateRegisteredReps":1,"otherAdviserReps":4,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":76},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/167243/PDF/167243.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"What services does Lebenthal Diversified Asset Management offer?","answer":"Lebenthal Diversified Asset Management provides portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Lebenthal Diversified Asset Management use?","answer":"Lebenthal Diversified Asset Management’s separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $424M and Charles Schwab & Co., Inc. (Westlake, TX), with $375M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lebenthal Diversified Asset Management have?","answer":"Lebenthal Diversified Asset Management has 1 investment adviser representative registered with state securities authorities, out of 5 employees, and 1 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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":"What does Lebenthal Diversified Asset Management invest in?","answer":"At the end of its last fiscal year, Lebenthal Diversified Asset Management’s separately managed accounts held 76% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 6% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% other. The 1% other category is described as: Annuities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Lebenthal Diversified Asset Management?","answer":"Lebenthal Diversified Asset Management’s direct owner is Dominick Tavella (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lebenthal Diversified Asset Management get paid?","answer":"Lebenthal Diversified Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees 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"}},{"question":"How do I contact Lebenthal Diversified Asset Management?","answer":"Lebenthal Diversified Asset Management’s main office is at 200 Parkway Drive South, Suite 200, Hauppauge, NY 11788. Its phone number is 516-785-1800.","source":"Form ADV Part 1A, Item 1.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}