Neil Douglas Klein
Investment adviser representative at Carret Asset Management, LLC
18 yearsExperience
1 stateRegistered in
$3.5BFirm assets
22 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsPerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
18 years in the industry.
- Carret Asset Management, LLCMay 2008 to now
Exams passed
- Series 63 · Uniform Securities Agent State Law1989
- Series 65 · Uniform Investment Adviser Law1992
State registrations
Registered as an investment adviser representative in 1 state (NY).
Carret Asset Management, LLC
$3.5BAssets managed
2,633Clients
11Advisers
22 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 1940962
- Firm CRD
- 131445