FRANKLIN MANAGED OPTIONS STRATEGIES, LLC
Adviser information for FRANKLIN MANAGED OPTIONS STRATEGIES, LLC last updated from Form ADV on December 15th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 45 | $164.4M |
| Non-Discretionary | 2 | $429.6M |
| Total | 47 | $594.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 46 | $458.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 1 | $135.1M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-127676 |
|---|---|
| SEC ERA File Number | 801-127676 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 325732 |
| Legal Entity Identifier | None |
Principal Office
1071 POST ROAD EAST, #201WESTPORT
CT
United States
Monday - Friday, 9 AM TO 5 PM
Tel: (888) 865-7268, Fax: None
Websites
Chief Compliance Officer
ANNE DEVEREAUX
DIRECTOR, GLOBAL COMPLIANCE
280 PARK AVENUE, 8TH FLOOR
NEW YORK
NY
United States
Tel:
212-805-6090
A*************@********************M
(Full email address available in API data)
Regulatory Contact
BRAD BERGGREN
SVP/CIO
1071 POST ROAD EAST, #201
WESTPORT
CT
United States
B************@********************M
(Full email address available in API data)
Industry Affiliates
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| FRANKLIN BSP LENDING ADVISER, L.L.C. | Other investment adviser, including financial planners |
| FRANKLIN DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
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| FRANKLIN TEMPLETON AUSTRALIA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
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| FRANKLIN TEMPLETON FUND MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON GSC ASSET MANAGEMENT SDN. BHD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INSTITUTIONAL, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INTERNATIONAL SERVICES S.A R.L. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENT ADVISORS KOREA CO., LTD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENTS CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
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| ROYCE FUND SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
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| TEMPLETON ASSET MANAGEMENT (POLAND) TFI S.A. | Other investment adviser, including financial planners |
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| WESTERN ASSET MANAGEMENT COMPANY PTE LTD | Other investment adviser, including financial planners |
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Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PARADISO, ROGER, NMN | Individual | – | PRESIDENT | 03/2023 | < 5% |
| SMITH, KRISTOPHER, RYAN | Individual | – | VICE PRESIDENT | 03/2023 | < 5% |
| TEMPLETON WORLDWIDE INC. | Domestic Entity | – | SHAREHOLDER | 02/2023 | > 75% |
| LEGG MASON INC. | Domestic Entity | TEMPLETON WORLDWIDE INC. | SHAREHOLDER | 07/2021 | > 75% |
| FRANKLIN RESOURCES INC. | Domestic Entity | LEGG MASON INC. | SHAREHOLDER | 07/2020 | > 75% |
| O'Malley, Beth | Individual | – | VICE PRESIDENT & SECRETARY | 03/2023 | < 5% |
| BERGGREN, BRADLEY, SCOTT | Individual | – | SVP; CO-CHIEF INVESTMENT OFFICER | 07/2023 | < 5% |
| ORSECK, JONATHAN | Individual | – | SVP; CO-CHIEF INVESTMENT OFFICER | 07/2023 | < 5% |
| Devereaux, Anne, P | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |