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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

LADENBURG THALMANN FUND MANAGEMENT LLC

CRD 129787

NEW YORK, NY

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:5c85f37a-464c-9b9b-70df-f6090e2db4a2

Data as of Apr 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 to Apr 2, 2018
14 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: $27.2MItem 5.F on the latest filing (2018-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-63441
CRD: 129787
Filings on the tape: 14
First filed: Dec 2, 2011
Latest filed: Apr 2, 2018
Organised: Limited Liability Company, Delaware

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
BLANCATO, PHILIP, SALVATORE	Manager	Na	yes	03/2006	Dec 2, 2011	Apr 2, 2018
BOYAR, MARK, ALAN	Manager	Na	yes	10/2002	Dec 2, 2011	Apr 2, 2018
CHILLEMI, DIANE, MARIE	CHIEF FINANCIAL OFFICER	Na	yes	07/2006	Apr 2, 2018	Apr 2, 2018
DESMOND, JAIME, LYNN	CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	12/2010	Apr 1, 2016	Apr 2, 2018
EBBETTS FIELD ASSOCIATION, LLC	DIRECT SHAREHOLDER	D	yes	02/1998	Dec 2, 2011	Apr 2, 2018
GIOVANNIELLO, JOSEPH, N/A	SVP/GENERAL COUNSEL & SECRETARY	Na	yes	06/1998	Apr 2, 2018	Apr 2, 2018
LADENBURG THALMANN ASSET MANAGEMENT INC	DIRECT SHAREHOLDER	D	yes	09/1997	Dec 2, 2011	Apr 2, 2018
LADENBURG THALMANN FINANCIAL SERVICES	Shareholder	C	yes	05/2001	Dec 2, 2011	Apr 2, 2018

Affiliates (Item 7.A)

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

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SECURITIES AMERICA ADVISORS, INC.	n/a	Former SEC adviser	$40B	N	yes	n/a
TRIAD HYBRID SOLUTIONS, LLC	n/a	Bd affiliated wealth	$15B	N	yes	n/a
KMS FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$8.2B	N	yes	n/a
ARBOR POINT ADVISORS, LLC	n/a	Former SEC adviser	$6.9B	N	yes	n/a
LADENBURG THALMANN ASSET MANAGEMENT INC	n/a	Other adviser	$6.7B	Y	no	n/a
SSN ADVISORY, INC.	n/a	Former SEC adviser	$2.4B	N	yes	n/a
INVESTACORP ADVISORY SERVICES INC	n/a	Former SEC adviser	$2.2B	N	yes	n/a
TRIAD ADVISORS, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
BOYAR ASSET MANAGEMENT INC	n/a	Independent wealth	$228M	N	yes	n/a
HIGHLAND CAPITAL BROKERAGE	n/a	n/a	n/a	N	yes	n/a
INVESTACORP, INC.	n/a	n/a	n/a	N	yes	n/a
LADENBURG THALMANN & CO. INC.	n/a	n/a	n/a	N	yes	n/a
LADENBURG THALMANN ANNUITY INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
LADENBURGH THALMAN ALTERNATIVE INC.	n/a	n/a	n/a	N	yes	n/a
PREMIER TRUST, INC.	n/a	n/a	n/a	N	yes	n/a
SECURITIES AMERICA, INC.	n/a	n/a	n/a	N	yes	n/a
SECURITIES SERVICE NETWORK, LLC	n/a	n/a	n/a	N	yes	n/a

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Apr 2, 2018	$27.2M	$0	5	0	0	n/a	n/a
2016	Mar 30, 2017	$24.5M	$0	3	0	n/a	n/a	n/a
2015	Apr 1, 2016	$24.1M	$0	3	0	n/a	n/a	n/a
2014	Mar 23, 2015	$25.1M	$0	3	0	n/a	n/a	n/a
2013	Mar 28, 2014	$22.4M	$0	3	0	n/a	n/a	n/a
2012	Mar 26, 2013	$16.4M	$0	3	0	n/a	n/a	n/a
2011	Mar 31, 2012	$14.2M	$0	n/a	n/a	n/a	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
2017	$27.2M	$24.5M	11.2%	$25.1M	2.7%	5	3	0	n/a

Relationships

Affiliated with (10)

→ BOYAR ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserother investment adviser, control
factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserother investment adviser, common control
factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ SSN ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← BRECEK & YOUNG ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← LADENBURG THALMANN ASSET MANAGEMENT INCOwnerDIRECT SHAREHOLDER, ownership code D, domestic entity
Dec 2, 2011 to presentfactForm ADV
← BLANCATO, PHILIP, SALVATOREOwnerMANAGER, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← BOYAR, MARK, ALANOwnerMANAGER, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← CHILLEMI, DIANE, MARIEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 2, 2018 to presentfactForm ADV
← GIOVANNIELLO, JOSEPH, N/AOwnerSVP/GENERAL COUNSEL & SECRETARY, ownership code NA, individual
Apr 2, 2018 to presentfactForm ADV
← DESMOND, JAIME, LYNNOwnerCHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 1, 2016 to presentfactForm ADV
← EBBETTS FIELD ASSOCIATION, LLCOwnerDIRECT SHAREHOLDER, ownership code D, domestic entity
Dec 2, 2011 to presentfactForm ADV
← LADENBURG THALMANN FINANCIAL SERVICESOwnerSHAREHOLDER, ownership code C, domestic entity
Dec 2, 2011 to presentfactForm ADV

Registered with (1)

← COREY FRANCOAdvisorregistration: previous registration
Jan 5, 2011 to Dec 31, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c85f37a-464c-9b9b-70df-f6090e2db4a2
First observed: Dec 2, 2011
Last observed: Apr 2, 2018 103 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.

LADENBURG THALMANN FUND MANAGEMENT LLC

CRD 129787

NEW YORK, NY

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:5c85f37a-464c-9b9b-70df-f6090e2db4a2

Data as of Apr 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:29 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLANCATO, PHILIP, SALVATORE

Manager

yes

03/2006

Dec 2, 2011

Apr 2, 2018

BOYAR, MARK, ALAN

Manager

yes

10/2002

Dec 2, 2011

Apr 2, 2018

CHILLEMI, DIANE, MARIE

CHIEF FINANCIAL OFFICER

yes

07/2006

Apr 2, 2018

DESMOND, JAIME, LYNN

CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER

yes

12/2010

Apr 1, 2016

Apr 2, 2018

EBBETTS FIELD ASSOCIATION, LLC

DIRECT SHAREHOLDER

yes

02/1998

Dec 2, 2011

Apr 2, 2018

GIOVANNIELLO, JOSEPH, N/A

SVP/GENERAL COUNSEL & SECRETARY

yes

06/1998

Apr 2, 2018

LADENBURG THALMANN ASSET MANAGEMENT INC

DIRECT SHAREHOLDER

yes

09/1997

Dec 2, 2011

Apr 2, 2018

LADENBURG THALMANN FINANCIAL SERVICES

Shareholder

yes

05/2001

Dec 2, 2011

Apr 2, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SECURITIES AMERICA ADVISORS, INC.

n/a

Former SEC adviser

$40B

yes

n/a

TRIAD HYBRID SOLUTIONS, LLC

n/a

Bd affiliated wealth

$15B

yes

n/a

KMS FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$8.2B

yes

n/a

ARBOR POINT ADVISORS, LLC

n/a

Former SEC adviser

$6.9B

yes

n/a

LADENBURG THALMANN ASSET MANAGEMENT INC

n/a

Other adviser

$6.7B

n/a

SSN ADVISORY, INC.

n/a

Former SEC adviser

$2.4B

yes

n/a

INVESTACORP ADVISORY SERVICES INC

n/a

Former SEC adviser

$2.2B

yes

n/a

TRIAD ADVISORS, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

BOYAR ASSET MANAGEMENT INC

n/a

Independent wealth

$228M

yes

n/a

HIGHLAND CAPITAL BROKERAGE

n/a

yes

n/a

INVESTACORP, INC.

n/a

yes

n/a

LADENBURG THALMANN & CO. INC.

n/a

yes

n/a

LADENBURG THALMANN ANNUITY INSURANCE SERVICES, LLC

n/a

yes

n/a

LADENBURGH THALMAN ALTERNATIVE INC.

n/a

yes

n/a

PREMIER TRUST, INC.

n/a

yes

n/a

SECURITIES AMERICA, INC.

n/a

yes

n/a

SECURITIES SERVICE NETWORK, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Apr 2, 2018

$27.2M

n/a

2016

Mar 30, 2017

$24.5M

n/a

2015

Apr 1, 2016

$24.1M

n/a

2014

Mar 23, 2015

$25.1M

n/a

2013

Mar 28, 2014

$22.4M

n/a

2012

Mar 26, 2013

$16.4M

n/a

2011

Mar 31, 2012

$14.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$27.2M

$24.5M

11.2%

$25.1M

2.7%

n/a