LADENBURG THALMANN ASSET MANAGEMENT INC
Adviser information for LADENBURG THALMANN ASSET MANAGEMENT INC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 37 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 27 |
| Registered State Investment Advisers | 24 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 20 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,727 | $1.3B |
| Non-Discretionary | 406 | $3.0B |
| Total | 3,133 | $4.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,631 | $547.6M |
| HNW Individuals | 219 | $487.9M |
| Banking or thrift institutions | <5 | $2.1M |
| Investment companies | 5 | $393.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $51.2M |
| Pension and profit sharing plans | 99 | $151.4M |
| Charitable organizations | 25 | $48.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $2.5B |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 144 | $171.6M |
| 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 investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)PROVIDE MODEL RECOMMENDATIONS TO OTHER RIAS |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 30.6M |
| Portfolio Manager | 260.9M |
| Both for Same | 608.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADVISORY SERVICES NETWORK, LLC WRAP FEE PROGRAM | ADVISORY SERVICES NETWORK |
| LADENBURG ASSET MANAGEMENT PROGRAM (LAMP) | LADENBURG THALMANN ASSET MANAGEMENT INC. |
| KWM WRAP FEE PROGRAM | KUHN WEALTH MANAGEMENT INC. |
| HFS FINANCIAL SERVICES WRAP PROGRAM | HOLLAND FINANCIAL SERVICES, INC. |
| LTAM CORE SERIES | WEALTH MANAGEMENT AND BUSINESS CONCEPTS |
| COOPER FINANCIAL GROUP | COOPER FINANCIAL GROUP |
| LADENBURG THALMANN ASSET MANAGEMENT INC. - INVESTMENT CONSULTANT SERVICES (ICS) | LADENBURG THALMANN ASSET MANAGEMENT INC. |
| LADENBURG THALMANN ASSET MANAGEMENT - PRIVATE INVESTMENT MANAGEMENT (PIM) | LADENBURG THALMANN ASSET MANAGEMENT INC. |
| LADENBURG THALMANN ASSET MANAGEMENT INC. - ARCHITECT PROGRAM | LADENBURG THALMANN ASSET MANAGEMENT INC. |
| ASSET MANAGEMENT SERVICES PROGRAM | ARBOR POINT ADVISORS |
| BLACK DIAMOND INVESTMENT PROGRAM | BLACK DIAMOND FINANCIAL, LLC |
Principal Office
640 FIFTH AVENUE4TH FL.
NEW YORK
NY
United States
Monday - Friday, LADENBURG THALMANN ASSET MGMT
Tel: 800-995-5267, Fax: 212-409-2550
Chief Compliance Officer
Y. MADELINE RUTINEL
640 FIFTH AVENUE
4TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 409-2317
Fax:
(212) 409-2550
M*******@************M
(Full email address available in API data)
Regulatory Contact
JAIME DESMOND
CHIEF OPERATING OFFICER
640 FIFTH AVENUE
4TH FLOOR
NEW YORK
NY
United States
Tel:
2124092680
Fax:
(212) 409-2550
J*******@************M
(Full email address available in API data)
Industry Affiliates
| AMERICAN PORTFOLIOS ADVISORS, INC | Other investment adviser, including financial planners |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ARBOR POINT ADVISORS | Other investment adviser, including financial planners |
| BLACK DIAMOND FINANCIAL, LLC | Other investment adviser, including financial planners |
| HIGHLAND CAPITAL BROKERAGE | Insurance company or agency |
| LADENBURG THALMANN & CO. INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OSAIC ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| OSAIC INSTITUTIONS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| OSAIC SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OSAIC WEALTH, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| PREMIER TRUST, INC. | Trust company |
| SECURITIES AMERICA ADVISORS, INC. | Other investment adviser, including financial plannersPension consultant |
| SECURITIES AMERICA, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| TRIAD ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| VISION2020 WEALTH MANAGEMENT CORP. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OSAIC HOLDINGS, INC. | Domestic Entity | – | MANAGER/SOLE MEMBER-SHAREHOLDER | 05/2020 | > 75% |
| GIOVANNIELLO, JOSEPH | Individual | – | SVP | 06/1998 | < 5% |
| BLANCATO, PHILIP, SALVATORE | Individual | – | PRESIDENT, CEO & DIRECTOR | 09/2004 | < 5% |
| DESMOND, JAIME, LYNN | Individual | – | CHIEF OPERATIONS OFFICER | 12/2010 | < 5% |
| RUTINEL, MADELINE, YAHAIRA | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |
| OSAIC FINANCIAL SERVICES | Domestic Entity | AG PARENT CORP. | SHAREHOLDER | 05/2020 | > 75% |
| AG PARENT CORP. | Domestic Entity | OSAIC HOLDINGS, INC. | SHAREHOLDER | 08/2019 | > 75% |
| AG INTERMEDIATE CORP. | Domestic Entity | OSAIC FINANCIAL SERVICES | SHAREHOLDER | 05/2020 | > 75% |
| AG ARTEMIS HOLDINGS, L.P. | Domestic Entity | AG INTERMEDIATE CORP. | SHAREHOLDER | 08/2019 | > 75% |
| RCP ARTEMIS CO-INVEST L.P. | Domestic Entity | AG ARTEMIS HOLDINGS GP, LLC | LIMITED PARTNER | 06/2019 | > 75% |
| MCKENNA, NINA | Individual | – | SECRETARY | 05/2020 | < 5% |
| AG ARTEMIS HOLDINGS GP, LLC | Domestic Entity | AG ARTEMIS HOLDINGS, L.P. | GENERAL PARTNER | 05/2019 | |
| RCP OPP FUND II GP, LP | Domestic Entity | RCP ARTEMIS CO-INVEST L.P. | LIMITED PARTNER | 01/2018 | > 75% |
| RCP GENPAR LP | Domestic Entity | RCP OPP FUND II GP, LP | LIMITED PARTNER | 01/2018 | > 75% |
| RCP GENPAR HOLDCO LLC | Domestic Entity | RCP GENPAR LP | LIMITED PARTNER | 08/2014 | > 75% |
| RCP ARTEMIS CO-INVEST GP LLC | Domestic Entity | RCP ARTEMIS CO-INVEST L.P. | GENERAL PARTNER | 05/2019 | |
| MRB ICBC LLC | Domestic Entity | RCP GENPAR HOLDCO LLC | MEMBER | 08/2014 | 25-50% |
| BERLINSKI, MILTON, RALPH | Individual | RCP GENPAR LP | GENERAL PARTNER | 08/2014 | |
| SCHLUETER, MATTHEW, ADAM | Individual | – | EVP | 05/2020 | < 5% |
| BERLINSKI, MILTON, RALPH | Individual | RCP GENPAR HOLDCO LLC | MEMBER | 08/2014 | 25-50% |
| BERLINSKI, MILTON, RALPH | Individual | MRB ICBC LLC | INVESTMENT MANAGER | 08/2014 | |
| THE BERLINSKI FAMILY 2006 TRUST | Domestic Entity | MRB ICBC LLC | MEMBER | 08/2014 | > 75% |
| BERLINSKI, MILTON, RALPH | Individual | THE BERLINSKI FAMILY 2006 TRUST | TRUSTEE | 06/2006 | |
| PRICE, JAMES, DALE | Individual | – | CHAIRMAN | 05/2020 | < 5% |
| SEIFFERT, SCOTT, ROBERT | Individual | – | CHIEF FINANCIAL OFFICER | 12/2021 | < 5% |
| SCHMIDT, DAVID, ANDREW | Individual | – | TREASURER | 10/2023 | < 5% |