Ladenburg Thalmann Fund Management LLC (New York)

Ladenburg Thalmann Fund Management LLC is an investment adviser to an investment company based in New York. It manages $27.22 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of New York.

Ladenburg Thalmann Fund Management provides portfolio management for investment companies, selection of other advisers, and review of investment for compliance with stated investment objectives and policies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ladenburg Thalmann Fund Management: assets under management

The assets under management (AUM) of Ladenburg Thalmann Fund Management LLC is $27.22 million. The firm's AUM has gone down by -23% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ladenburg Thalmann Fund Management LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ladenburg Thalmann Fund Management serves?

The only and largest group of clients of Ladenburg Thalmann Fund Management is investment companies with 1 clients and $27.22 million of assets under management. Among the 1 most similar advisory firms, Ladenburg Thalmann Fund Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $27.22 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Ladenburg Thalmann Fund Management doesn't advise any private funds.

Careers at Ladenburg Thalmann Fund Management LLC

The company employs 5 people that are either part- or full-time employees. No employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ladenburg Thalmann Asset Management Inc	Direct shareholder	1 Sep 1997	50% - 75%	108604
Llc Ebbetts Field Association	Direct shareholder	1 Feb 1998	50% - 75%	0000000
Ebbetts Field	Shareholder	1 Feb 1998	50% - 75%	0000000
Joseph N/A Giovanniello	Svp/general counsel & secretary	1 Jun 1998	Other	3086071
Mark Alan Boyar	Manager	1 Oct 2002	Other	27586
Inc. Claymore Securities	Direct shareholder	1 Oct 2002	Other	39805
Llc Claymore Group	Indirect shareholder	1 Oct 2002	Other	36-4470289
Nicholas Dalmaso	Manager	1 Oct 2002	Other	2246955
Victor Manuel Rivas	Manager	1 Mar 2003	Other	2705672
John Henry Ruggiero	Manager	1 Apr 2004	Other	2294079
Nicholas Dalmaso	Manager	1 Oct 2004	Other	2246955
Steven Michael Mullooly	Chief compliance officer	1 Nov 2004	Other	1868602
Philip Salvatore Blancato	Manager	1 Mar 2006	Other	2122221
Colin Michael Moors	Chief compliance officer	1 Jun 2006	Other	2317174
Diane Marie Chillemi	Chief financial officer	1 Jul 2006	Other	2916563
Robert Charles Mateicka	Chief compliance officer	1 Dec 2006	Other	1049076
Jaime Lynn Desmond	Chief operations officer, chief compliance officer	1 Dec 2010	Other	3174096
Corey Franco	Chief compliance officer	1 Dec 2011	Other	3075851
Robert Charles Mateicka	Chief compliance officer	1 Jan 2012	Other	1049076
Stuart Ashley Evans	Chief compliance officer	1 Jun 2012	Other	2424825
Jaime Lynn Desmond	Chief compliance officer	1 Mar 2016	Other	3174096
Michael Joseph Giannotto	Chief compliance officer	1 Apr 2016	Other	2011397

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ladenburg Thalmann & Co. Inc.	Shareholder	1 Sep 1997	25% - 50%	505
Ladenburg Thalmann Financial Services	Shareholder	1 May 2001	25% - 50%	none

Based in New York

The principal office where Ladenburg Thalmann Fund Management LLC performs its advisory services is located at 277 Park Avenue, New York, NY 10172, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-409-2000 or by fax 212-409-2550. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.