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.
Former SEC-registered adviser
Ladenburg Thalmann Fund Management LLC
Latest filing Apr 2, 2018
First filing on the tape Dec 2, 2011 · 14 filings
RAUM
$27.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$27.2M as of Apr 2, 2018
Mar 31, 2012$14.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 2, 2018
Mar 31, 20120 then
Employees (5.A)5 as of Apr 2, 2018
Mar 26, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+2.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 2, 2018; every figure names its basis
- RAUM per advisor
- $13.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $27.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$27.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Corey Franco to Ladenburg Thalmann Asset Management IncDec 31, 2011 · Other
Joined, latest
- Corey Franco from Lebenthal Asset Management, LLCJan 5, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Salvatore Philip Blancato · Managercontrolsince 03/2006 · owns less than 5%
- Alan Mark Boyar · Managercontrolsince 10/2002 · owns less than 5%
- Marie Diane Chillemi · Chief Financial Officercontrolsince 07/2006 · owns less than 5%
- Lynn Jaime Desmond · Chief Operations Officer, Chief Compliance Officercontrolsince 12/2010 · owns less than 5%
- N/A Joseph Giovanniello · Svp/General Counsel & Secretarycontrolsince 06/1998 · owns less than 5%
Entity owners
- Ebbetts Field Association, LLC · Direct Shareholderdirect · owns 50% to 75%
- Ladenburg Thalmann Asset Management Inc · Direct Shareholderdirect · owns 50% to 75%
- Ladenburg Thalmann Financial Services · Shareholderindirect · owns 25% to 50% of Ladenburg Thalmann & Co., Inc. · public reporting company
Related persons
Schedule D 7.A
- Arbor Point Advisorsinvestment advisernRAUM $6.9B
- Boyar Asset Management, Inc.investment advisernRAUM $228M
- Highland Capital Brokeragereal estaten
- Investacorp Advisory Services Incinvestment advisernRAUM $2.2B
- Investacorp, Inc.broker-dealern
- Kms Financial Services, Incbroker-dealerinvestment advisernRAUM $8.2B
- Ladenburg Thalmann & Co. Inc.broker-dealern
- Ladenburg Thalmann Annuity Insurance Services, LLCreal estaten
- Ladenburg Thalmann Asset Management Incinvestment adviseryRAUM $6.7B
- Ladenburgh Thalman Alternative Inc.pooled vehicle sponsorn
- Premier Trust, Inc.n
- Securities America Advisors, Inc.investment adviserLP sponsornRAUM $40B
- Securities America, Inc.broker-dealern
- Securities Service Network, LLCbroker-dealern
- Ssn Advisory, Inc.investment advisernRAUM $2.4B
- Triad Advisors, LLCbroker-dealerinvestment advisernRAUM $1.1B
- Osaic Advisory Services, LLCinvestment advisernRAUM $15B
Advisers that list Ladenburg Thalmann Fund Management LLC as a related person
- 40395 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 3 to 5Sep 29, 2017 to Apr 2, 2018
- Other offices · unset to 0.0Sep 29, 2017 to Apr 2, 2018
- Non-discretionary RAUM · $24.5M to $27.2MSep 29, 2017 to Apr 2, 2018
- RAUM · $24.5M to $27.2MSep 29, 2017 to Apr 2, 2018
- BD registered reps · 3 to 2Sep 23, 2016 to Mar 30, 2017
- Insurance-licensed employees · 3 to 2Sep 23, 2016 to Mar 30, 2017
- State-registered IARs · 3 to 2Sep 23, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $24.1M to $24.5MSep 23, 2016 to Mar 30, 2017
- RAUM · $24.1M to $24.5MSep 23, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $25.1M to $24.1MMar 23, 2015 to Apr 1, 2016
- RAUM · $25.1M to $24.1MMar 23, 2015 to Apr 1, 2016
- Non-discretionary RAUM · $22.4M to $25.1MMar 28, 2014 to Mar 23, 2015
- RAUM · $22.4M to $25.1MMar 28, 2014 to Mar 23, 2015
- Non-discretionary RAUM · $16.4M to $22.4MOct 30, 2013 to Mar 28, 2014
- RAUM · $16.4M to $22.4MOct 30, 2013 to Mar 28, 2014
- Advisory employees · unset to 0.0Jun 8, 2012 to Mar 26, 2013
- BD registered reps · unset to 3.0Jun 8, 2012 to Mar 26, 2013
- Employees · unset to 3.0Jun 8, 2012 to Mar 26, 2013
- Insurance-licensed employees · 1 to 3Jun 8, 2012 to Mar 26, 2013
- State-registered IARs · 0 to 3Jun 8, 2012 to Mar 26, 2013
- Non-discretionary RAUM · $14.2M to $16.4MJun 8, 2012 to Mar 26, 2013
- RAUM · $14.2M to $16.4MJun 8, 2012 to Mar 26, 2013
- Accounts · unset to 1.0Dec 2, 2011 to Mar 31, 2012
- Advisory activities · 2 to 3Dec 2, 2011 to Mar 31, 2012
- Insurance-licensed employees · unset to 1.0Dec 2, 2011 to Mar 31, 2012
- Financial planning clients · unset to 0Dec 2, 2011 to Mar 31, 2012
- Discretionary RAUM · unset to 0.0Dec 2, 2011 to Mar 31, 2012
- Non-discretionary RAUM · unset to 14200000.0Dec 2, 2011 to Mar 31, 2012
- RAUM · unset to 14200000.0Dec 2, 2011 to Mar 31, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026