Ladenburg Thalmann Asset Management Inc
- Regulatory AUM
- $6.7B
- Discretionary
- $1.8B
- Clients
- 3,154
- Avg AUM / client
- $2.1M
- Accounts
- 3,153
- Employees
- 30
AUM over time
Annual snapshots from Form ADV filings · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,638 | $586M | 8.77% |
| High net worth individuals | 291 | $634M | 9.5% |
| Investment companies | 5 | $450M | 6.74% |
| Pooled investment vehicles (non-investment companies) | 5 | $63.4M | 0.95% |
| Pension and profit sharing plans | 45 | $141M | 2.12% |
| Charitable organizations | 27 | $83.4M | 1.25% |
| Other investment advisers | 4 | $4.5B | 67.2% |
| Corporations and other businesses | 139 | $233M | 3.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Qui(k) 401(k) Plan Americantcs Fiduciary Services, Llc | 2024 | |
| University Bancorp, Inc. Employee Stock Ownership And Retirement Savings Plan University Bancorp, Inc. | Ann Arbor, MI | 2024 |
People (30)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Giovanniello, Joseph | Svp | Jun 1998 (28y) | Less than 5% | |
| Philip Salvatore Blancato | President, Ceo & Director | Sep 2004 (22y) | Less than 5% | |
| Jaime Lynn Desmond | Chief Operations Officer | Sep 2004 (22y) | Less than 5% | |
| Berlinski, Milton, Ralph | General Partner | Aug 2014 (12y) | GP / trustee / elected manager of Rcp Genpar Lp (indirect) | |
| Madeline Yahaira Rutinel | Chief Compliance Officer | Jan 2020 (7y) | Less than 5% | |
| Mckenna, Nina | Secretary | May 2020 (6y) | Less than 5% | |
| Price, James, Dale | Chairman | May 2020 (6y) | Less than 5% | |
| Schlueter, Matthew, Adam | Evp | May 2020 (6y) | Less than 5% | |
| Seiffert, Scott, Robert | Chief Financial Officer | Dec 2021 (5y) | Less than 5% | |
| David Andrew Schmidt | Treasurer | Oct 2023 (3y) | Less than 5% | |
| Steven Eric Zeitchick | Registered representative | Jun 2004 (22y) | ||
| Alexander Paul Breslin | Registered representative | Aug 2004 (22y) | ||
| Scott Allan Smith | Registered representative | Sep 2004 (22y) | ||
| Bruce David Siegel | Registered representative | Oct 2004 (22y) | ||
| David Alfred Riccio | Registered representative | Oct 2006 (20y) | ||
| Bruce Adam Silver | Registered representative | Dec 2009 (17y) | ||
| Robert Eugene Baisch | Registered representative | Oct 2018 (8y) | ||
| Timothy John Eng | Registered representative | Nov 2022 (4y) | ||
| Audrey Bobbi Treloar | Registered representative | Sep 2023 (3y) | ||
| Benjamin Dennis | Registered representative | CFA | Sep 2023 (3y) | |
| Fred Paul Boy | Registered representative | CFA | Nov 2023 (3y) | |
| Dan Daley | Registered representative | Nov 2023 (3y) | ||
| Belfield Howell Carter | Registered representative | Jul 2024 (2y) | ||
| Adam Joseph Cabibi | Registered representative | Jul 2024 (2y) | ||
| Cheryl Lynn Armitage | Registered representative | Apr 2025 (1y) | ||
| Kevin Patrick Barrett | Registered representative | Oct 2025 (1y) | ||
| Aidan Patrick Redmond | Registered representative | Jan 2026 (1y) | ||
| Lila Grace Tuman | Registered representative | Jan 2026 (1y) | ||
| Matthew Crosby | Registered representative | Mar 2026 (0y) | ||
| Loukas Ganas | Registered representative | Mar 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Osaic Holdings, Inc. | Manager/Sole Member Shareholder | May 2020 | A | 75% or more |
| Osaic Financial Services | Shareholder | May 2020 | B | ≈ 42.19% – 100% via Ag Parent Corp. |
| Ag Parent Corp. | Shareholder | Aug 2019 | B | ≈ 56.25% – 100% via Osaic Holdings, Inc. |
| Ag Intermediate Corp. | Shareholder | May 2020 | B | ≈ 31.64% – 100% via Osaic Financial Services |
| Ag Artemis Holdings, L.P. | Shareholder | Aug 2019 | B | ≈ 23.73% – 100% via Ag Intermediate Corp. |
| Rcp Artemis Co Invest L.P. | Limited Partner | Jun 2019 | B | 75% or more of Ag Artemis Holdings Gp, Llc (indirect) |
| Rcp Opp Fund Ii Gp, Lp | Limited Partner | Jan 2018 | B | 75% or more of Rcp Artemis Co Invest L.P. (indirect) |
| Rcp Genpar Lp | Limited Partner | Jan 2018 | B | 75% or more of Rcp Opp Fund Ii Gp, Lp (indirect) |
| Rcp Genpar Holdco Llc | Limited Partner | Aug 2014 | B | 75% or more of Rcp Genpar Lp (indirect) |
| The Berlinski Family 2006 Trust | Member | Aug 2014 | B | 75% or more of Mrb Icbc Llc (indirect) |
| Mrb Icbc Llc | Member | Aug 2014 | B | 25% – 50% of Rcp Genpar Holdco Llc (indirect) |
| Ag Artemis Holdings Gp, Llc | General Partner | May 2019 | B | GP / trustee / elected manager of Ag Artemis Holdings, L.P. (indirect) |
| Rcp Artemis Co Invest Gp Llc | General Partner | May 2019 | B | GP / trustee / elected manager of Rcp Artemis Co Invest L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Osaic Financial Services: 75% – 100% of Ag Parent Corp. × 75% – 100% of Osaic Holdings, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ag Parent Corp.: 75% – 100% of Osaic Holdings, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Ag Intermediate Corp.: 75% – 100% of Osaic Financial Services × 75% – 100% of Ag Parent Corp. × 75% – 100% of Osaic Holdings, Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ag Artemis Holdings, L.P.: 75% – 100% of Ag Intermediate Corp. × 75% – 100% of Osaic Financial Services × 75% – 100% of Ag Parent Corp. × 75% – 100% of Osaic Holdings, Inc. × 75% – 100% direct ≈ 23.73% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Qui(k) 401(k) Plan | Americantcs Fiduciary Services, Llc | 807 | $22.3M | 01/01/2024 |
| University Bancorp, Inc. Employee Stock Ownership And Retirement Savings Plan | University Bancorp, Inc. | 494 | $35.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.54 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ALLEGED VIOLATIONS OF ADVISER ACT ADVERTISING AND RECORD KEEPING PROVISIONS IN CONNECTION WITH ADVERTISING OF THIRD-PARTY PERFORMANCE Status: Final Sanction Detail: LTAM PAID THE MONETARY PENALTY IN FULL ON 08/31/2016 Summary: ON AUGUST 25, 2016, PURSUANT TO AN OFFER OF SETTLEMENT BY LTAM AND AS PART OF AN ENFORCEMENT SWEEP OF 13 INVESTMENT ADVISERS, THE SEC IMPOSED A CEASE-AND-DESIST ORDER AND A CIVIL MONEY PENALTY ON LTAM. THE ORDER INDICATES THAT LTAM VIOLATED THE ADVISERS ACT ADVERTISING AND RECORD KEEPING PROVISIONS BY INCORPORATING INTO CERTAIN ADVERTISEMENTS FOR AN LTAM WRAP-FEE PROGRAM STRATEGY INACCURATE PERFORMANCE DATA PROVIDED BY A THIRD-PARTY SIGNAL PROVIDER, AND BY FAILING TO MAINTAIN RECORDS TO SUBSTANTIATE THE THIRD-PARTY'S PERFORMANCE INFORMATION. THE ORDER ACKNOWLEDGES THAT LTAM'S WRAP-FEE BROCHURE DISCLOSED THAT LTAM DID NOT VERIFY PERFORMANCE INFORMATION SUPPLIED BY THIRD-PARTY MANAGERS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $823M (12% of AUM) May 2026
- National Financial Services (Fidelity) $732M (11% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗