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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

FRANKLIN MANAGED OPTIONS STRATEGIES, LLC

CRD 325732

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:446349b6-aa97-29be-142b-dedb347f6443

Data as of Dec 8, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 4
On other graphs: 0
Observed: Mar 17, 2023 to Dec 8, 2025
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $973MItem 5.F on the latest filing (2025-12-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $801M
Private client RAUM: $723MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 474
High net worth clients: 436
SEC number: 801-127676
CRD: 325732
Filings on the tape: 9
First filed: Mar 17, 2023
Latest filed: Dec 8, 2025
Organised: Limited Liability Company, DE
Website: franklintempleton.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FRANKLIN RESOURCES INC.	Shareholder	E	yes	07/2020	Mar 17, 2023	Dec 9, 2024
LEGG MASON INC.	Shareholder	E	yes	07/2021	Mar 17, 2023	Dec 9, 2024
PARADISO, ROGER, NMN	President	Na	yes	03/2023	Mar 17, 2023	Dec 9, 2024
SMITH, KRISTOPHER, RYAN	VICE PRESIDENT	Na	yes	03/2023	Mar 17, 2023	Dec 9, 2024
TEMPLETON WORLDWIDE INC.	Shareholder	E	yes	02/2023	Mar 17, 2023	Dec 9, 2024
BERGGREN, BRADLEY, SCOTT	SVP; CO-CHIEF INVESTMENT OFFICER	Na	no	07/2023	Aug 8, 2023	Dec 9, 2024
Devereaux, Anne, P	CHIEF COMPLIANCE OFFICER	Na	no	07/2023	Aug 8, 2023	Dec 9, 2024
O'Malley, Beth	VICE PRESIDENT & SECRETARY	Na	no	03/2023	Mar 17, 2023	Dec 9, 2024
ORSECK, JONATHAN	SVP; CO-CHIEF INVESTMENT OFFICER	Na	no	07/2023	Aug 8, 2023	Dec 9, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 69

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FRANKLIN ADVISERS, INC.	n/a	Asset manager	$509B	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY, LLC	n/a	Asset manager	$185B	N	yes	n/a
CLEARBRIDGE INVESTMENTS, LLC	n/a	Mixed wealth	$185B	N	yes	n/a
FRANKLIN TEMPLETON FUND ADVISER, LLC	n/a	Asset manager	$167B	N	yes	n/a
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC	n/a	Independent wealth	$140B	N	yes	n/a
PUTNAM INVESTMENT MANAGEMENT, LLC	n/a	Asset manager	$117B	N	yes	n/a
LEXINGTON PARTNERS L.P.	n/a	Asset manager	$79B	Y	yes	n/a
CLARION PARTNERS, LLC	n/a	Asset manager	$74B	N	yes	n/a
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC	n/a	Other adviser	$65B	Y	yes	n/a
FRANKLIN MUTUAL ADVISERS, LLC	n/a	Asset manager	$43B	N	yes	n/a
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED	n/a	Asset manager	$41B	N	yes	n/a
THE PUTNAM ADVISORY COMPANY, LLC	n/a	Asset manager	$33B	N	yes	n/a
FRANKLIN TEMPLETON INSTITUTIONAL, LLC	n/a	Asset manager	$30B	N	yes	n/a
BENEFIT STREET PARTNERS L.L.C.	n/a	Asset manager	$28B	N	yes	n/a
TEMPLETON GLOBAL ADVISORS LIMITED	n/a	Asset manager	$26B	N	yes	n/a
TEMPLETON ASSET MANAGEMENT LTD.	n/a	Asset manager	$24B	N	yes	n/a
ALCENTRA LIMITED	n/a	Asset manager	$23B	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY LIMITED	n/a	Institutional manager	$20B	N	yes	n/a
O'SHAUGHNESSY ASSET MANAGEMENT, LLC	n/a	Independent wealth	$20B	N	yes	n/a
ALCENTRA NY, LLC	n/a	Asset manager	$14B	N	yes	n/a
FRANKLIN ADVISORY SERVICES, LLC	n/a	Asset manager	$14B	N	yes	n/a
FRANKLIN TEMPLETON INVESTMENTS CORP.	n/a	Asset manager	$13B	N	yes	n/a
ROYCE & ASSOCIATES, LP	n/a	Asset manager	$12B	N	no	n/a
BSP CLO MANAGEMENT LLC	n/a	Asset manager	$12B	N	yes	n/a
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED	n/a	Other adviser	$9.9B	N	yes	n/a
FIDUCIARY TRUST INTERNATIONAL, LLC	n/a	Bank affiliated wealth	$7.7B	N	yes	n/a
MARTIN CURRIE INC	n/a	Former SEC adviser	$7.3B	N	yes	n/a
K2/D&S MANAGEMENT CO., L.L.C.	n/a	Asset manager	$6.5B	N	yes	n/a
TEMPLETON INVESTMENT COUNSEL, LLC	n/a	Asset manager	$4.6B	N	yes	n/a
FRANKLIN BSP CAPITAL ADVISER LLC	n/a	Asset manager	$4.2B	N	yes	n/a
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED	n/a	Former SEC adviser	$4.0B	N	yes	n/a
PUTNAM INVESTMENTS LIMITED	n/a	Former SEC adviser	$3.0B	N	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY PTE LTD	n/a	Institutional manager	$2.8B	N	yes	n/a
LEXINGTON ADVISORS LLC	n/a	Asset manager	$2.7B	Y	yes	n/a
WESTERN ASSET MANAGEMENT COMPANY LTD	n/a	Former SEC adviser	$2.6B	N	yes	n/a
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA.	n/a	Former SEC adviser	$2.3B	N	yes	n/a
CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED	n/a	Asset manager	$2.2B	N	yes	n/a
K2 ADVISORS, L.L.C.	n/a	Former SEC adviser	$1.4B	N	yes	n/a
DARBY OVERSEAS PARTNERS, L.P.	n/a	Asset manager	$154M	N	yes	n/a
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (ASIA) PTE. LTD	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 2 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 24, 2025	$447M	$230M	11	3	1	n/a	n/a
2023	Dec 4, 2023	$594M	$164M	10	3	1	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$973M	$594M	63.7%	n/a	n/a	12	10	1	1

Relationships

Affiliated with (41)

← FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
← O'SHAUGHNESSY ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FRANKLIN ADVISERS, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ PUTNAM INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ THE PUTNAM ADVISORY COMPANY, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ LEXINGTON ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ ROYCE INVESTMENT PARTNERSRegistered adviserother investment adviser
factForm ADV
→ CLARION PARTNERSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANY LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ MARTIN CURRIE INCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FRANKLIN ADVISORY SERVICES, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FRANKLIN TEMPLETON INVESTMENTS CORP.Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
→ TEMPLETON INVESTMENT COUNSEL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FRANKLIN MUTUAL ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ TEMPLETON ASSET MANAGEMENT LTD.Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
→ TEMPLETON GLOBAL ADVISORS LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITEDRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FRANKLIN TEMPLETON INSTITUTIONAL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ PUTNAM INVESTMENTS LIMITEDRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
→ K2/D&S MANAGEMENT CO., L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV
→ FIDUCIARY TRUST INTERNATIONAL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CLEARBRIDGE INVESTMENT MANAGEMENT LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FRANKLIN TEMPLETON FUND ADVISER, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WESTERN ASSET MANAGEMENT COMPANY PTE LTDRegistered adviserother investment adviser, common control
factForm ADV
→ FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
and 11 more

Controls (5)

← PARADISO, ROGER, NMNOwnerPRESIDENT, ownership code NA, individual
Mar 17, 2023 to Dec 9, 2024factForm ADV
← SMITH, KRISTOPHER, RYANOwnerVICE PRESIDENT, ownership code NA, individual
Mar 17, 2023 to Dec 9, 2024factForm ADV
← FRANKLIN RESOURCES INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 17, 2023 to Dec 9, 2024factForm ADV
← LEGG MASON INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 17, 2023 to Dec 9, 2024factForm ADV
← TEMPLETON WORLDWIDE INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 17, 2023 to Dec 9, 2024factForm ADV

Owns (4)

← BERGGREN, BRADLEY, SCOTTOwnerSVP; CO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 8, 2023 to Dec 9, 2024factForm ADV
← ORSECK, JONATHANOwnerSVP; CO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 8, 2023 to Dec 9, 2024factForm ADV
← Devereaux, Anne, POwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 8, 2023 to Dec 9, 2024factForm ADV
← O'Malley, BethOwnerVICE PRESIDENT & SECRETARY, ownership code NA, individual
Mar 17, 2023 to Dec 9, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 8, 2025
Regulatory AUM changed
Franklin Managed Options Strategies, Llc reported RAUM $972.5M, up 117% from $447.4M (2025-03-24 to 2025-12-08)
Form ADVobserved 5 days ago
$525M
Occurred
Aug 8, 2023
Control person left
David Kenneth Cieprisz (Chief Compliance Officer) no longer on Schedule A of Franklin Managed Options Strategies, Llc (listed 2023-03-27, absent 2023-08-08)
Form ADVobserved 5 days ago
Occurred
Mar 17, 2023
First Form ADV filing
Franklin Managed Options Strategies, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Feb 2, 2026
Franklin Managed Options Strategies, Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $972.5M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:446349b6-aa97-29be-142b-dedb347f6443
First observed: Mar 17, 2023
Last observed: Dec 8, 2025 9 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FRANKLIN MANAGED OPTIONS STRATEGIES, LLC

CRD 325732

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:446349b6-aa97-29be-142b-dedb347f6443

Data as of Dec 8, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRANKLIN RESOURCES INC.

Shareholder

yes

07/2020

Mar 17, 2023

Dec 9, 2024

LEGG MASON INC.

Shareholder

yes

07/2021

Mar 17, 2023

Dec 9, 2024

PARADISO, ROGER, NMN

President

yes

03/2023

Mar 17, 2023

Dec 9, 2024

SMITH, KRISTOPHER, RYAN

VICE PRESIDENT

yes

03/2023

Mar 17, 2023

Dec 9, 2024

TEMPLETON WORLDWIDE INC.

Shareholder

yes

02/2023

Mar 17, 2023

Dec 9, 2024

BERGGREN, BRADLEY, SCOTT

SVP; CO-CHIEF INVESTMENT OFFICER

07/2023

Aug 8, 2023

Dec 9, 2024

Devereaux, Anne, P

CHIEF COMPLIANCE OFFICER

07/2023

Aug 8, 2023

Dec 9, 2024

O'Malley, Beth

VICE PRESIDENT & SECRETARY

03/2023

Mar 17, 2023

Dec 9, 2024

ORSECK, JONATHAN

SVP; CO-CHIEF INVESTMENT OFFICER

07/2023

Aug 8, 2023

Dec 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FRANKLIN ADVISERS, INC.

n/a

Asset manager

$509B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY, LLC

n/a

Asset manager

$185B

yes

n/a

CLEARBRIDGE INVESTMENTS, LLC

n/a

Mixed wealth

$185B

yes

n/a

FRANKLIN TEMPLETON FUND ADVISER, LLC

n/a

Asset manager

$167B

yes

n/a

FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC

n/a

Independent wealth

$140B

yes

n/a

PUTNAM INVESTMENT MANAGEMENT, LLC

n/a

Asset manager

$117B

yes

n/a

LEXINGTON PARTNERS L.P.

n/a

Asset manager

$79B

yes

n/a

CLARION PARTNERS, LLC

n/a

Asset manager

$74B

yes

n/a

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

n/a

Other adviser

$65B

yes

n/a

FRANKLIN MUTUAL ADVISERS, LLC

n/a

Asset manager

$43B

yes

n/a

FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED

n/a

Asset manager

$41B

yes

n/a

THE PUTNAM ADVISORY COMPANY, LLC

n/a

Asset manager

$33B

yes

n/a

FRANKLIN TEMPLETON INSTITUTIONAL, LLC

n/a

Asset manager

$30B

yes

n/a

BENEFIT STREET PARTNERS L.L.C.

n/a

Asset manager

$28B

yes

n/a

TEMPLETON GLOBAL ADVISORS LIMITED

n/a

Asset manager

$26B

yes

n/a

TEMPLETON ASSET MANAGEMENT LTD.

n/a

Asset manager

$24B

yes

n/a

ALCENTRA LIMITED

n/a

Asset manager

$23B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY LIMITED

n/a

Institutional manager

$20B

yes

n/a

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

n/a

Independent wealth

$20B

yes

n/a

ALCENTRA NY, LLC

n/a

Asset manager

$14B

yes

n/a

FRANKLIN ADVISORY SERVICES, LLC

n/a

Asset manager

$14B

yes

n/a

FRANKLIN TEMPLETON INVESTMENTS CORP.

n/a

Asset manager

$13B

yes

n/a

ROYCE & ASSOCIATES, LP

n/a

Asset manager

$12B

n/a

BSP CLO MANAGEMENT LLC

n/a

Asset manager

$12B

yes

n/a

MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED

n/a

Other adviser

$9.9B

yes

n/a

FIDUCIARY TRUST INTERNATIONAL, LLC

n/a

Bank affiliated wealth

$7.7B

yes

n/a

MARTIN CURRIE INC

n/a

Former SEC adviser

$7.3B

yes

n/a

K2/D&S MANAGEMENT CO., L.L.C.

n/a

Asset manager

$6.5B

yes

n/a

TEMPLETON INVESTMENT COUNSEL, LLC

n/a

Asset manager

$4.6B

yes

n/a

FRANKLIN BSP CAPITAL ADVISER LLC

n/a

Asset manager

$4.2B

yes

n/a

FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED

n/a

Former SEC adviser

$4.0B

yes

n/a

PUTNAM INVESTMENTS LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY PTE LTD

n/a

Institutional manager

$2.8B

yes

n/a

LEXINGTON ADVISORS LLC

n/a

Asset manager

$2.7B

yes

n/a

WESTERN ASSET MANAGEMENT COMPANY LTD

n/a

Former SEC adviser

$2.6B

yes

n/a

FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA.

n/a

Former SEC adviser

$2.3B

yes

n/a

CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED

n/a

Asset manager

$2.2B

yes

n/a

K2 ADVISORS, L.L.C.

n/a

Former SEC adviser

$1.4B

yes

n/a

DARBY OVERSEAS PARTNERS, L.P.

n/a

Asset manager

$154M

yes

n/a

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (ASIA) PTE. LTD

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 24, 2025

$447M

$230M

n/a

2023

Dec 4, 2023

$594M

$164M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$973M

$594M

63.7%

n/a