SourcingSourcing

LADENBURG THALMANN ASSET MANAGEMENT INC

C36
CRD 108604·SEC 801-54909·NEW YORK, NY
AUM
$6.68B
$1B+
Est. Revenue
$66.8M
@ 1% on AUM
Est. EBITDA
$20.0M
@ 30% margin
Est. Deal Value
$160.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD
108604
SEC file #
801-54909
EIN
200726461
DBA names
—

Economics

AUM
$6.68B
AUM band
$1B+
AUM trajectory
'20'26
$2.33B → $6.68B▲ +187%
Client mix
Individuals Other2,638
Individuals High Net Worth291
Corporations139
Pension Profit Sharing Plans45
Charitable Organizations27

Operations

Employees (total)
30
Advisory staff (per ADV)
14
Advisory staff (5-yr trend)
'20'26
21 advisors → 14 advisors▼ -33%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Compliance

Disclosures (firm)
5
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OSAIC HOLDINGS, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
9
Control Persons
OSAIC HOLDINGS, INC.
BLANCATO, PHILIP, SALVATORE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
42,304
Form 5500 Compensation Trajectory 3y
202542,304
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
42,304
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001465069
Edgar Registered
Yes
Edgar Filing Count
20
Edgar First Filing Date
2009-07-06
Edgar Last Filing Date
2021-12-21
Edgar Form D Count
20
Edgar Form D Offerings
2021-12-212021-12-21 · 0001104659-21-151932
2021-06-302021-06-30 · 0001465069-21-000001
Edgar Former Names
MKCA Opportunities Fund, LLC
LTAM Titan Fund, LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
23
Bc Firm Active IA Count
23
Bc Firm IAR Count
23
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Edgar Addresses
Mailing
1888 CENTURY PARK EAST2ND FLOORLOS ANGELES, CA 90067
Business
1888 CENTURY PARK EAST2ND FLOORLOS ANGELES, CA 90067
Edgar EIN
200726461
Edgar Recent Filings
D/A2021-12-21 · 0001104659-21-151932
D/A2021-06-30 · 0001465069-21-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (28)

28
RUTINEL, MADELINE, YAHAIRA
IAR · Executive Officer · 2.5%
6535218
DESMOND, JAIME, LYNN
IAR · Executive Officer · 2.5%
3174096
BLANCATO, PHILIP, SALVATORE
IAR · Executive Officer · 2.5%
2122221
GIOVANNIELLO, JOSEPH
Executive Officer · 2.5%
3086071
MITCHELL, CHRISTOPHER, MILLS
Executive Officer · 2.5%
2420144
PRICE, JAMES, DALE
Executive Officer · 2.5%
1243224
SCHLUETER, MATTHEW, ADAM
Executive Officer · 2.5%
2627931
SCOTT ROBERT SEIFFERT
Executive Officer · 2.5%
5332544
ALEXANDER PAUL BRESLIN
IAR
2680480
SCOTT ALLAN SMITH
IAR
2652227
DAN DALEY
IAR
7489138
Benjamin Dennis
IAR
5685787
DAVID ALFRED RICCIO
IAR
4734960
Aidan Patrick Redmond
IAR
5702206
BRUCE DAVID SIEGEL
IAR
2432159
Matthew Crosby
IAR
7763515
Loukas Ganas
IAR
8178857
BRUCE ADAM SILVER
IAR
1802101
ROBERT EUGENE BAISCH
IAR
2510237
STEVEN ERIC ZEITCHICK
IAR
2969033
FRED PAUL BOY
IAR
6268596
CHERYL LYNN ARMITAGE
IAR
2436774
BELFIELD HOWELL CARTER
IAR
4320152
ADAM JOSEPH CABIBI
IAR
1537472
Audrey Bobbi Treloar
IAR
7293461
Timothy John Eng
IAR
6980279
Kevin Patrick Barrett
IAR
7652842
Lila Grace Tuman
IAR
7937432