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
Franklin Managed Options Strategies, LLC
Latest filing Dec 8, 2025
First filing on the tape Mar 17, 2023 · 9 filings
SEC status approved since Apr 27, 2023
RAUM
$973M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
74%
$723M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$973M as of Dec 8, 2025
Dec 4, 2023$594M then
HNW client RAUM$723M as of Dec 8, 2025
Dec 4, 2023$459M then
State-registered IARs (5.B.3)0 as of Dec 8, 2025
Dec 4, 20230 then
Employees (5.A)12 as of Dec 8, 2025
Dec 4, 202310 then
Private funds: no history
RAUM +64% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 8, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$723M74%
- Other investment advisers$250M26%
- Individual clients
- n/areported
- HNW clients
- 436reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 474reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nmn Roger Paradiso · Presidentcontrolsince 03/2023 · owns less than 5%
- Ryan Kristopher Smith · Vice Presidentcontrolsince 03/2023 · owns less than 5%
- Scott Bradley Berggren · Svp; Co-Chief Investment Officersince 07/2023 · owns less than 5%
- P Anne Devereaux · Chief Compliance Officersince 07/2023 · owns less than 5%
- Beth O'Malley · Vice President & Secretarysince 03/2023 · owns less than 5%
- Jonathan Orseck · Svp; Co-Chief Investment Officersince 07/2023 · owns less than 5%
Entity owners
- Templeton Worldwide Inc. · Shareholderdirect · owns 75% or more
- Franklin Resources Inc. · Shareholderindirect · owns 75% or more of Legg Mason Inc. · public reporting company
- Legg Mason Inc. · Shareholderindirect · owns 75% or more of Templeton Worldwide Inc.
Related persons
Schedule D 7.A
- Benefit Street Partners Limitedinvestment adviserbanknRAUM $23B
- Bsp Ny LLCinvestment adviserbanknRAUM $14B
- Benefit Street Partners L.L.C.investment advisernRAUM $28B
- Brandywine Global Investment Management (Asia) Pte. Ltdinvestment advisery
- Brandywine Global Investment Management, LLCinvestment adviserbankpooled vehicle sponsoryRAUM $65B
- Bsp Clo Management LLCinvestment advisernRAUM $12B
- China Life Franklin Asset Management Co., Limitedinvestment advisern
- Clarion Partners Emea Limitedbroker-dealern
- Clarion Partners Europe (U.K.) Limitedbroker-dealerinvestment advisern
- Clarion Partners Europe Limitedinvestment advisern
- Clarion Partners Securities, LLCbroker-dealern
- Clarion Partnersbroker-dealerinvestment advisernRAUM $74B
- Clearbridge Investments (North America) Pty Limitedinvestment advisernRAUM $2.2B
- Clearbridge Investments Limitedinvestment advisern
- Clearbridge Investments, LLCinvestment adviserbankpooled vehicle sponsornRAUM $185B
- Darby Asia Investors (Hk), Ltd.investment advisern
- Darby Asia Investors, Ltd.investment advisern
- Darby Overseas Partners, L.P.investment advisernRAUM $154M
- Fiduciary Trust Company Of Canadainvestment advisern
- Fiduciary Trust International, LLCinvestment adviserbanknRAUM $7.7B
- Franklin Advisers, Inc.investment adviserbanknRAUM $509B
- Franklin Advisory Services, LLCinvestment adviserbanknRAUM $14B
- Franklin Bsp Capital Adviser LLCinvestment advisernRAUM $4.2B
- Franklin Distributors, LLCbroker-dealern
- Franklin Mutual Advisers, LLCinvestment adviserbanknRAUM $43B
- Franklin Templeton Alts Brasil Admin. De Investimentos Ltda.investment advisery
- Franklin Templeton Asset Management (Malaysia) Sdn. Bhd.investment advisern
- Franklin Templeton Asset Management Mexico, S.A. De C.V., Sociedad Operadora De Fondos De Inversioninvestment advisern
- Franklin Templeton Australia Limitedinvestment adviserbankn
- Franklin Templeton Fund Adviser, LLCinvestment adviserbanknRAUM $167B
Advisers that list Franklin Managed Options Strategies, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 68 to 474Mar 24, 2025 to Dec 8, 2025
- HNW clients · 67 to 436Mar 24, 2025 to Dec 8, 2025
- Employees · 11 to 12Mar 24, 2025 to Dec 8, 2025
- Discretionary RAUM · $230M to $801MMar 24, 2025 to Dec 8, 2025
- HNW RAUM · $279M to $723MMar 24, 2025 to Dec 8, 2025
- Non-discretionary RAUM · $217M to $171MMar 24, 2025 to Dec 8, 2025
- RAUM · $447M to $973MMar 24, 2025 to Dec 8, 2025
- Financial planning clients · 0 to 0Jan 22, 2025 to Mar 24, 2025
- HQ city · WESTPORT to STAMFORDJan 22, 2025 to Mar 24, 2025
- Accounts · 47 to 68Dec 15, 2023 to Dec 9, 2024
- HNW clients · 46 to 67Dec 15, 2023 to Dec 9, 2024
- Employees · 10 to 11Dec 15, 2023 to Dec 9, 2024
- Discretionary RAUM · $164M to $230MDec 15, 2023 to Dec 9, 2024
- HNW RAUM · $459M to $279MDec 15, 2023 to Dec 9, 2024
- Non-discretionary RAUM · $430M to $217MDec 15, 2023 to Dec 9, 2024
- RAUM · $594M to $447MDec 15, 2023 to Dec 9, 2024
- Accounts · 46 to 47Aug 8, 2023 to Dec 4, 2023
- HNW clients · 45 to 46Aug 8, 2023 to Dec 4, 2023
- Discretionary RAUM · $156M to $164MAug 8, 2023 to Dec 4, 2023
- HNW RAUM · $467M to $459MAug 8, 2023 to Dec 4, 2023
- Non-discretionary RAUM · $427M to $430MAug 8, 2023 to Dec 4, 2023
- RAUM · $582M to $594MAug 8, 2023 to Dec 4, 2023
- Accounts · 0 to 46Mar 27, 2023 to Aug 8, 2023
- Advisory employees · 0 to 3Mar 27, 2023 to Aug 8, 2023
- HNW clients · unset to 45.0Mar 27, 2023 to Aug 8, 2023
- Employees · 1 to 10Mar 27, 2023 to Aug 8, 2023
- HQ city · SAN MATEO to WESTPORTMar 27, 2023 to Aug 8, 2023
- HQ state · CA to CTMar 27, 2023 to Aug 8, 2023
- Other offices · 0 to 1Mar 27, 2023 to Aug 8, 2023
- Discretionary RAUM · $0 to $156MMar 27, 2023 to Aug 8, 2023
- HNW RAUM · unset to 467230782.0Mar 27, 2023 to Aug 8, 2023
- Non-discretionary RAUM · $0 to $427MMar 27, 2023 to Aug 8, 2023
- RAUM · $0 to $582MMar 27, 2023 to Aug 8, 2023
Signals
4 dated events
- Franklin Managed Options Strategies, Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $972.5M)Feb 2, 2026 · Left the SEC roster · derived
- Franklin Managed Options Strategies, Llc reported RAUM $972.5M, up 117% from $447.4M (2025-03-24 to 2025-12-08)Dec 8, 2025 · RAUM change · derived
- 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)Aug 8, 2023 · Control person left · inference
- Franklin Managed Options Strategies, Llc filed its initial SEC registration (Form ADV)Mar 17, 2023 · First SEC registration · fact
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