DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Ladenburg Thalmann Asset Management Inc

Other adviserNew York, New YorkCRD 108604SEC 801-54909websiteIAPD
Latest filing Sep 1, 2026
First filing on the tape Dec 2, 2011 · 67 filings
SEC status approved since Oct 16, 1997
RAUM
$6.7B
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
18%
$1.2B individuals and HNW
Advisors
22
registered through the firm on IAPD
RAUM per advisor
$303M
derived; firm RAUM over IAPD count
Employees
30
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
67 filings and snapshots on the tape
RAUM$6.7B as of Jul 31, 2026
Mar 31, 2012$844M then
HNW client RAUM$634M as of Jul 31, 2026
Apr 2, 2018$277M then
State-registered IARs (5.B.3)23 as of Jul 31, 2026
Mar 15, 201337 then
Employees (5.A)30 as of Jul 31, 2026
Mar 15, 201342 then
Private funds: 1
RAUM +19% over the last fiscal year+25% a year over threeIARs 19 to 23offices 2 to 1
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
  • PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$303MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
133derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
27%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
11.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+21%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$580MreportedItem 5.I
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$4.5B67%
  • High-net-worth individuals$634M9.5%
  • Individuals$586M8.8%
  • Investment companies$450M6.7%
  • Corporations and businesses$233M3.5%
  • Pension and profit-sharing plans$141M2.1%
  • Charitable organizations$83.4M1.2%
  • Pooled investment vehicles$63.4M1.0%
Individual clients
2,638reported
HNW clients
291reported
Pension plan clients
45reported
Charitable clients
27reported
Accounts
3,153reported
Financial planning clients
0reported
Wrap fee programs
$44.7M sponsored, $622M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.18 fund_share=0.75 institutional_share=0.03 related_bd=true related_bank=false bd_reps=25.0derived
Advisors registered through the firm
22 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Steven Eric ZeitchickBoca Raton, FlJun 7, 200428 y1
Alexander Paul BreslinMelville, NyAug 27, 200430 y0
Jaime Lynn DesmondNew York, Ny Sep 10, 200425 y1
Scott Allan SmithBoca Raton, FlSep 29, 200430 y0
Bruce David SiegelBoca Raton, Fl Oct 11, 200432 y0
Philip Salvatore BlancatoNew York, Ny Jul 13, 200529 y2
David Alfred RiccioMiami, FlOct 3, 200622 y0
Bruce Adam SilverNew York, Ny Dec 18, 200938 y2
Robert Eugene BaischMadison, Nj Oct 26, 201831 y0
Madeline Yahaira RutinelNew York, Ny Mar 3, 202111 y0
Timothy John EngNew York, Ny Nov 2, 202210 y0
Audrey Bobbi TreloarNew York, NySep 1, 202313 y0
Benjamin DennisChartered Financial AnalystBrooklyn, Ny Sep 28, 202310 y0
Fred Paul BoyChartered Financial AnalystNew York, Ny Nov 10, 202313 y1
Dan DaleyNaples, FlNov 15, 202310 y1
Belfield Howell CarterNorcross, GaJul 24, 202421 y1
Adam Joseph CabibiNorcross, GaJul 25, 202440 y4
Kevin Patrick BarrettNew York, Ny Oct 15, 202512 y1
Lila Grace TumanNew York, Ny Jan 2, 202610 y0
Aidan Patrick RedmondWaltham, MaJan 2, 202611 y0
Matthew CrosbyNew York, NyMar 9, 202610 y0
Loukas GanasHillsborough, Nj Mar 12, 202612 y0
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Ltam Titan Fund, LLCno longer reportedHedge Fund$34.7M55Mar 31, 2012
Owners and control persons
Schedule A and B, latest filing
  • Salvatore Philip Blancato · President, Ceo & Directorcontrol
    since 09/2004 · owns less than 5%
  • Lynn Jaime Desmond · Chief Operations Officercontrol
    since 12/2010 · owns less than 5%
  • Joseph Giovanniello · Svpcontrol
    since 06/1998 · owns less than 5%
  • Nina Mckenna · Secretarycontrol
    since 05/2020 · owns less than 5%
  • Dale James Price · Chairmancontrol
    since 05/2020 · owns less than 5%
  • Yahaira Madeline Rutinel · Chief Compliance Officercontrol
    since 01/2020 · owns less than 5%
  • Adam Matthew Schlueter · Evpcontrol
    since 05/2020 · owns less than 5%
  • Robert Scott Seiffert · Chief Financial Officercontrol
    since 12/2021 · owns less than 5%
  • Ralph Milton Berlinski · Membercontrol
    since 08/2014 · owns 25% to 50% of Rcp Genpar Holdco LLC
  • Ralph Milton Berlinski · Investment Managercontrol
    since 08/2014 · owns F of Mrb Icbc LLC
  • Ralph Milton Berlinski · Trusteecontrol
    since 06/2006 · owns F of The Berlinski Family 2006 Trust
  • Ralph Milton Berlinski · General Partnercontrol
    since 08/2014 · owns F of Rcp Genpar LP
  • Andrew David Schmidt · Treasurer
    since 10/2023 · owns less than 5%
Entity owners
  • Osaic Holdings, Inc. · Manager/Sole Member-Shareholder
    direct · owns 75% or more
  • Ag Artemis Holdings Gp, LLC · General Partner
    indirect · owns F of Ag Artemis Holdings, L.P.
  • Ag Artemis Holdings, L.P. · Shareholder
    indirect · owns 75% or more of Ag Intermediate Corp.
  • Ag Intermediate Corp. · Shareholder
    indirect · owns 75% or more of Osaic Financial Services
  • Ag Parent Corp. · Shareholder
    indirect · owns 75% or more of Osaic Holdings, Inc.
  • Mrb Icbc LLC · Member
    indirect · owns 25% to 50% of Rcp Genpar Holdco LLC
  • Osaic Financial Services · Shareholder
    indirect · owns 75% or more of Ag Parent Corp.
  • Rcp Artemis Co-Invest Gp LLC · General Partner
    indirect · owns F of Rcp Artemis Co-Invest L.P.
  • Rcp Artemis Co-Invest L.P. · Limited Partner
    indirect · owns 75% or more of Ag Artemis Holdings Gp, LLC
  • Rcp Genpar Holdco LLC · Limited Partner
    indirect · owns 75% or more of Rcp Genpar LP
  • Rcp Genpar LP · Limited Partner
    indirect · owns 75% or more of Rcp Opp Fund II Gp, LP
  • Rcp Opp Fund II Gp, LP · Limited Partner
    indirect · owns 75% or more of Rcp Artemis Co-Invest L.P.
  • The Berlinski Family 2006 Trust · Member
    indirect · owns 75% or more of Mrb Icbc LLC
Related persons
Schedule D 7.A
Advisers that list Ladenburg Thalmann Asset Management Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal1341
Boca Raton, Fl301
Norcross, Ga200
Miami, Fl100
Offices
Schedule D 1.F, the 25 largest
  • Melville, NY4 employees
  • Boca Raton, FL3 employees
What changed
consecutive filings, newest first
  • Financial planning clients · 0 to 0
    Jul 31, 2026 to Sep 1, 2026
  • Succession · false to unset
    Jul 31, 2026 to Sep 1, 2026
  • Other offices · 2 to 1
    May 29, 2026 to Jul 31, 2026
  • Accounts · 3,334 to 3,153
    Sep 15, 2025 to Mar 31, 2026
  • BD registered reps · 29 to 25
    Sep 15, 2025 to Mar 31, 2026
  • Charity clients · 15 to 27
    Sep 15, 2025 to Mar 31, 2026
  • Corporate clients · 166 to 139
    Sep 15, 2025 to Mar 31, 2026
  • HNW clients · 403 to 291
    Sep 15, 2025 to Mar 31, 2026
  • Individual clients · 2,650 to 2,638
    Sep 15, 2025 to Mar 31, 2026
  • Pension plan clients · 85 to 45
    Sep 15, 2025 to Mar 31, 2026
  • Employees · 33 to 30
    Sep 15, 2025 to Mar 31, 2026
  • State-registered IARs · 19 to 23
    Sep 15, 2025 to Mar 31, 2026
  • Discretionary RAUM · $1.6B to $1.8B
    Sep 15, 2025 to Mar 31, 2026
  • HNW RAUM · $642M to $634M
    Sep 15, 2025 to Mar 31, 2026
  • Individual RAUM · $564M to $586M
    Sep 15, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $4.0B to $4.8B
    Sep 15, 2025 to Mar 31, 2026
  • Pension RAUM · $143M to $141M
    Sep 15, 2025 to Mar 31, 2026
  • Pooled vehicle RAUM · $45.8M to $63.4M
    Sep 15, 2025 to Mar 31, 2026
  • RAUM · $5.6B to $6.7B
    Sep 15, 2025 to Mar 31, 2026
  • Wrap assets (manager) · $522M to $622M
    Sep 15, 2025 to Mar 31, 2026
  • Wrap assets (sponsor) · $42.5M to $44.7M
    Sep 15, 2025 to Mar 31, 2026
  • Financial planning clients · 0 to 0
    Jun 30, 2025 to Sep 15, 2025
  • Accounts · 3,133 to 3,334
    Nov 19, 2024 to Mar 28, 2025
  • Advisory employees · 18 to 14
    Nov 19, 2024 to Mar 28, 2025
  • BD registered reps · 27 to 29
    Nov 19, 2024 to Mar 28, 2025
  • Charity clients · 25 to 15
    Nov 19, 2024 to Mar 28, 2025
  • Corporate clients · 144 to 166
    Nov 19, 2024 to Mar 28, 2025
  • HNW clients · 219 to 403
    Nov 19, 2024 to Mar 28, 2025
  • Individual clients · 2,631 to 2,650
    Nov 19, 2024 to Mar 28, 2025
  • Pension plan clients · 99 to 85
    Nov 19, 2024 to Mar 28, 2025
  • Employees · 37 to 33
    Nov 19, 2024 to Mar 28, 2025
  • State-registered IARs · 24 to 19
    Nov 19, 2024 to Mar 28, 2025
  • Discretionary RAUM · $1.3B to $1.6B
    Nov 19, 2024 to Mar 28, 2025
  • HNW RAUM · $488M to $642M
    Nov 19, 2024 to Mar 28, 2025
  • Individual RAUM · $548M to $564M
    Nov 19, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · $3.0B to $4.0B
    Nov 19, 2024 to Mar 28, 2025
  • Pension RAUM · $151M to $143M
    Nov 19, 2024 to Mar 28, 2025
  • Pooled vehicle RAUM · $51.2M to $45.8M
    Nov 19, 2024 to Mar 28, 2025
  • RAUM · $4.3B to $5.6B
    Nov 19, 2024 to Mar 28, 2025
  • Wrap assets (manager) · $261M to $522M
    Nov 19, 2024 to Mar 28, 2025
Signals
15 dated events
  • Robert Nathan Schaffer left Ladenburg Thalmann Asset Management Inc for Andrew Garrett, Inc. (registered 2026-01-26)
    Jan 6, 2026 · Advisor changed firm · fact
  • Ladenburg Thalmann Asset Management Inc reported RAUM $5.6B, up 30% from $4.3B (2024-11-19 to 2025-03-28)
    Mar 28, 2025 · RAUM change · derived
  • Steven Richard Scheibelhut left Ladenburg Thalmann Asset Management Inc for Raymond James Financial Services Advisors, Inc (registered 2024-12-16)
    Dec 16, 2024 · Advisor changed firm · fact
  • 2 advisors left Carter, Terry & Company, Inc. (Atlanta, GA) for Ladenburg Thalmann Asset Management Inc within 11 days
    Jul 25, 2024 · Team lift-out · derived
  • John Walter Riccio left Ladenburg Thalmann Asset Management Inc for Millennial Advisers, Llc. (registered 2025-02-24)
    Apr 26, 2024 · Advisor changed firm · fact
  • Ladenburg Thalmann Asset Management Inc reported RAUM $4.3B, up 26% from $3.4B (2023-08-01 to 2024-03-28)
    Mar 28, 2024 · RAUM change · derived
  • Alexander Harrington left Ladenburg Thalmann Asset Management Inc for Fidelity Institutional Wealth Adviser Llc (registered 2022-05-25)
    Apr 8, 2022 · Advisor changed firm · fact
  • Marie Diane Chillemi (Chief Financial Officer) no longer on Schedule A of Ladenburg Thalmann Asset Management Inc (listed 2021-03-31, absent 2021-12-02)
    Dec 2, 2021 · Control person left · inference
  • Robert Scott Seiffert (Chief Financial Officer) appeared on Schedule A of Ladenburg Thalmann Asset Management Inc
    Dec 2, 2021 · Control person joined · fact
  • Dale James Price (Chairman) appeared on Schedule A of Ladenburg Thalmann Asset Management Inc
    Oct 16, 2020 · Control person joined · fact
  • Nina Mckenna (Secretary) appeared on Schedule A of Ladenburg Thalmann Asset Management Inc
    Jun 26, 2020 · Control person joined · fact
  • Ralph Milton Berlinski (General Partner) appeared on Schedule A of Ladenburg Thalmann Asset Management Inc
    Jun 26, 2020 · Control person joined · fact
  • Adam Matthew Schlueter (Evp) appeared on Schedule A of Ladenburg Thalmann Asset Management Inc
    Jun 26, 2020 · Control person joined · fact
  • Ladenburg Thalmann Asset Management Inc reported RAUM $3.1B, up 32% from $2.3B (2020-03-13 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Yahaira Madeline Rutinel (Chief Compliance Officer) appeared on Schedule A of Ladenburg Thalmann Asset Management Inc
    Jan 23, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Website
LTAM.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
800-995-5267reportedpublic record, Form ADV, Sep 1, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$303Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026