SourcingSourcing

TOCQUEVILLE ASSET MANAGEMENT LP

C48
CRD 105690·SEC 801-36209·NEW YORK, NY
AUM
$10.24B
$1B+
Est. Revenue
$102.4M
@ 1% on AUM
Est. EBITDA
$30.7M
@ 30% margin
Est. Deal Value
$245.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TOCQUEVILLE ASSET MANAGEMENT LP
CRD
105690
SEC file #
801-36209
EIN
133547557
DBA names
—

Economics

AUM
$10.24B
AUM band
$1B+
AUM trajectory
'20'26
$10.89B → $10.24B▼ -6%
Client mix
Individuals High Net Worth741
Individuals Other418
Charitable Organizations42
Corporations26
Pension Profit Sharing Plans15

Operations

Employees (total)
73
Advisory staff (per ADV)
35
Advisory staff (5-yr trend)
'20'26
50 advisors → 35 advisors▼ -30%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
twitter.com/tocquevilleam(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TOCQUEVILLE MANAGEMENT CORP.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
10
Control Persons
TOCQUEVILLE MANAGEMENT CORP.
KLEINSCHMIDT, ALEXANDER, WILLIAM
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:twitter.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
16
Form 5500 Total Compensation
2,375,528
Form 5500 Compensation Trajectory 3y
20252,009,756
2026365,772
Form 5500 Plan Count Trajectory 3y
202514
20262
Schedule C Total Compensation
2,375,528
Schedule C Service Provider Rows
16

SEC EDGAR

Edgar Cik
0000883961
Edgar Registered
Yes
Edgar Filing Count
435
Edgar First Filing Date
1999-04-16
Edgar Last Filing Date
2026-05-12
Edgar 13f Count
114
Edgar 13f Latest AUM Estimate
Filing Date2026-05-12
Accession0000919574-26-002885
Edgar Former Names
TOCQUEVILLE ASSET MANAGEMENT LP

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
19
Bc Firm Active IA Count
32
Bc Firm IAR Count
32
Custodian Candidates
Full
Pershing16
E*trade4
U.s. Bank2
Edgar Addresses
Mailing
40 WEST 57TH STREET19TH FLOORNEW YORK, NY 10019
Business
40 WEST 57TH STREET19TH FLOORNEW YORK, NY 10019
Edgar EIN
133547557
Edgar Recent Filings
13F-HR2026-05-12 · 0000919574-26-002885
13F-HR2026-02-12 · 0000919574-26-000743
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (36)

36
KLEINSCHMIDT, PAUL, J
IAR · Direct Owner · 17.5%
5102086
KLEINSCHMIDT, ALEXANDER, WILLIAM
Direct Owner · 17.5%
4858430
KLEINSCHMIDT, ROBERT, WILLIAM
IAR · Executive Officer · 2.5%
855215
GRAHAM, KELSEY, DUBOIS
Executive Officer · 2.5%
5976494
SCHLESINGER, SCOTT, IRA
Executive Officer · 2.5%
1252675
ZATKOWSKY, JEFFREY, LANCE
Executive Officer · 2.5%
7356580
JOHN DENNIS DELAFIELD
IAR
64289
VINCENT SELLECCHIA
IAR
872991
MATTHEW JOHN CHERASHORE
IAR
4600560
JOHN THEODORE ROCHFORD
IAR
4593230
PETER TISDALL OSTBERG
IAR
4855140
James Millar Maxwell
IAR
7415970
Rodman Wister Moorhead IV
IAR
7423771
PAUL ANTHONY LAMBERT
IAR
5603427
DONALD BROOKS WANG
IAR
1705902
TSERING NGUDU
IAR
1454706
NORMAN DOUGLAS ADAMS
IAR
837996
DAVID TAYLOR HARRIS
IAR
803289
JOSEPH ANTHONY ZOCK
IAR
1078035
MICHAEL JOHN PATON
IAR
1205322
NICHOLAS CARLOZZI
IAR
1276896
PETER DEWEY SHAWN
IAR
1987570
GEORGE BIRMINGHAM MCAULIFFE
IAR
4623650
John Richard Ores
IAR
6752798
JAMES EDWARD HUNT
IAR
2003648
NICHOLAS ALEXANDER STOCK
IAR
4979050
JOSHUA DOV KAUFTHAL
IAR
4236510
BENNER ANTHONY ULRICH
IAR
4142571
MICHAEL TED MELTZER
IAR
4381225
JOHN JAMES PETRIDES
IAR
4674896
HEATHER JACOBS PERLMUTTER
IAR
1643571
MICHAEL LEWIS BERTASH
IAR
1732623
LAWRENCE MICHAEL FIELDS
IAR
1431746
CHRISTOPHER EVANS MORPHY
IAR
1260972
JAMES DALE HARVEY
IAR
1514610
JOSEPH S PIROPATO
IAR
1388062