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.