{
  "crd_number": 108604,
  "slug": "ladenburg-thalmann-asset-management-inc-new-york-ny-108604",
  "primary_business_name": "LADENBURG THALMANN ASSET MANAGEMENT INC",
  "legal_name": "LADENBURG THALMANN ASSET MANAGEMENT INC",
  "dbas": [
    "THE BRESLIN GROUP"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1997-10-16",
  "years_registered": 28,
  "period": "2026-10-01",
  "filing_date": "2026-09-01",
  "carried_forward": false,
  "raum_total": 6675795755.0,
  "raum_discretionary": 1834895826.0,
  "raum_non_discretionary": 4840899929.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 30,
  "advisory_employees": 14,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 83446712.0,
      "count": 27
    },
    "individuals": {
      "raum": 585567615.0,
      "count": 2638
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": null
    },
    "investment_companies": {
      "raum": 449632442.0,
      "count": 5
    },
    "pension_profit_sharing": {
      "raum": 141296525.0,
      "count": 45
    },
    "other_investment_advisers": {
      "raum": 4484662880.0,
      "count": 4,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 634350034.0,
      "count": 291
    },
    "pooled_investment_vehicles": {
      "raum": 63432921.0,
      "count": 5
    },
    "corporations_other_businesses": {
      "raum": 233406626.0,
      "count": 139
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": null
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 5,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/LTASSETMANAGEMENT",
    "https://instagram.com/ltassetmngmt",
    "https://ladenburgfunds.com",
    "https://linkedin.com/IN/LADENBURG-THALMANN-ASSET-MANAGEMENT-13A86921",
    "https://linkedin.com/in/philip-s-blancato-b780891",
    "https://ltam.com",
    "https://symbil.com",
    "https://thebreslingroup.com",
    "https://x.com/LTAssetMgmt",
    "https://x.com/philblancato"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108604",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/ladenburg-thalmann-asset-management-inc-new-york-ny-108604",
  "display_name": "Ladenburg Thalmann Asset Management Inc",
  "summary": "Ladenburg Thalmann Asset Management Inc is an SEC-registered investment advisory firm in New York, NY, registered since 1997, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 1, 2026.",
  "citation": "AdvisorCensus. Ladenburg Thalmann Asset Management Inc (CRD 108604): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Ladenburg Thalmann Asset Management Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Ladenburg Thalmann Asset Management Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Ladenburg Thalmann Asset Management Inc located?",
      "a": "Ladenburg Thalmann Asset Management Inc's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Ladenburg Thalmann Asset Management Inc registered with the SEC or a state?",
      "a": "Ladenburg Thalmann Asset Management Inc is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 108604."
    },
    {
      "q": "How much does Ladenburg Thalmann Asset Management Inc manage?",
      "a": "Ladenburg Thalmann Asset Management Inc reports $6,675,795,755 in regulatory assets under management in its Form ADV filing dated September 1, 2026 (27% discretionary)."
    },
    {
      "q": "How have Ladenburg Thalmann Asset Management Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Ladenburg Thalmann Asset Management Inc: Regulatory assets under management: $3,145,484,390 in the October 2021 data and $6,675,795,755 in the October 2026 data, up 112%. Total employees: 38 in October 2021 and 30 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Ladenburg Thalmann Asset Management Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,638); high net worth individuals (291); corporations or other businesses not listed above (139)."
    },
    {
      "q": "Which custodians does Ladenburg Thalmann Asset Management Inc use?",
      "a": "Ladenburg Thalmann Asset Management Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Ladenburg Thalmann Asset Management Inc report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108604"
    },
    {
      "q": "What changed in Ladenburg Thalmann Asset Management Inc's recent Form ADV filings?",
      "a": "In the August 2026 filing data: No longer lists an office in Melville, NY. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 3145484390.0,
      "total_employees": 38,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 3711194308.0,
      "total_employees": 31,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 3415364439.0,
      "total_employees": 35,
      "filing_date": "2023-08-01"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 4318838175.0,
      "total_employees": 37,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 5611078759.0,
      "total_employees": 33,
      "filing_date": "2025-06-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 6675795755.0,
      "total_employees": 30,
      "filing_date": "2026-09-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "No longer lists an office in Melville, NY.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $5,611,078,759 to $6,675,795,755 (+19%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in PR."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/ladenburg-thalmann-asset-management-inc-new-york-ny-108604.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 2638,
      "fewer_than_5": false,
      "raum": 585567615.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 291,
      "fewer_than_5": false,
      "raum": 634350034.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 5,
      "fewer_than_5": false,
      "raum": 449632442.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 63432921.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 45,
      "fewer_than_5": false,
      "raum": 141296525.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 27,
      "fewer_than_5": false,
      "raum": 83446712.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 4,
      "fewer_than_5": true,
      "raum": 4484662880.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 139,
      "fewer_than_5": false,
      "raum": 233406626.0
    }
  ],
  "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108604",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}