LUMBARD & KELLNER, LLC

HTTPS://WWW.LUMBARD.COM HOLLIS, NH Investment Advisor How do I update this listing?

Lumbard & Kellner is based out of Hollis. Lumbard & Kellner is a large advisory firm with 112 clients and discretionary assets under management (AUM) of $176,878,517 (Form ADV from 2019-03-19). Their last reported 13F filing for Q3 2019 included $177,027,000 in managed 13F securities and a top 10 holdings concentration of 46.28%. Lumbard & Kellner's largest holding is Vanguard Total Stock Market ETF with shares held of 131,868. Whalewisdom has at least 24 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $182.52 Million
  • Prior Market Value $185.945 Million
  • New Purchases5 stocks
  • Additional Purchases8 stocks
  • Sold out of3 stocks
  • Reduced holdings in23 stocks
  • Top 10 Holdings % 44.89 %
  • Turnover % [1]:11.59%
  • Turnover Alt % [2]: 10.81 %
  • Time Held Top20:12.00 quarters
  • Time Held Top10:10.20 quarters
  • Time Held All:13.04 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -1.16%
Performance Last 4 Quarters: -2.83%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

LUMBARD & KELLNER, LLC
5 HUTCHINGS DRIVE
HOLLIS NH    03049-0749
Country: United States

Business Phone: 603-465-7700
Fax: 603-465-7774
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NH
Number of employees: 3
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 112
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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LUMBARD & KELLNER, LLC

ownership team - last updated 2019-03-19
Name Title Start Date Direct/Indirect % Ownership
RUSSELL, GORDON, ALAN MEMBER 04/01/1990 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
LUMBARD, JOHN, ASHMORE MANAGER 04/01/1990 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING GENERAL PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MANAGER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING GENERAL PARTNER direct 1990-04-01
LUMBARD, JEAN, ASHMORE MEMBER 04/01/1990 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
COLLORA, MICHAEL, ALLEN MEMBER 04/01/1990 Direct less than 5%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
COZ, PETER, BOYD MEMBER 04/01/1990 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
KELLNER, DREW, DAWSON MEMBER, CHIEF COMPLIANCE OFFICER 06/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LLC OWNER direct 2005-06-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2005-06-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER, CCO direct 2005-06-01
RUSSELL, ANNE MEMBER 06/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 2013-06-01

LUMBARD & KELLNER, LLC

ownership team - last updated 2017-03-28
Name Title Start Date Direct/Indirect % Ownership
LUMBARD, JOHN, ASHMORE MANAGER 04/01/1990 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING GENERAL PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MANAGER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING GENERAL PARTNER direct 1990-04-01
LUMBARD, JEAN, ASHMORE MEMBER 04/01/1990 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
RUSSELL, GORDON, ALAN MEMBER 04/01/1990 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
COLLORA, MICHAEL, ALLEN MEMBER 04/01/1990 Direct less than 5%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
COZ, PETER, BOYD MEMBER 04/01/1990 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER indirect 1990-04-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 1990-04-01
LUMBARD INVESTMENT COUNSELING LIMITED PARTNER direct 1990-04-01
KELLNER, DREW, DAWSON MEMBER, CHIEF COMPLIANCE OFFICER 06/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LLC OWNER direct 2005-06-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2005-06-01
LUMBARD INVESTMENT COUNSELING LLC MEMBER, CCO direct 2005-06-01
RUSSELL, ANNE MEMBER 06/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUMBARD INVESTMENT COUNSELING LLC MEMBER direct 2013-06-01

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