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LADENBURG THALMANN ASSET MANAGEMENT INC
CRD 108604File 801-54909
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$6.68B
Top 25% of cohort (national)
Discretionary AUM
$1.83B
Non-discretionary $4.84B
Clients
3,154
3,153 accounts
Employees
30
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Oct 16, 1997
- Principal office
- 640 FIFTH AVENUE, 4TH FL., NEW YORK, NY, 10019
- Phone
- 800-995-5267
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $6.68B
- Discretionary AUM
- $1.83B
- Non-discretionary AUM
- $4.84B
- Discretionary accounts
- 2,860
- Non-discretionary accounts
- 293
- Total accounts
- 3,153
- AUM per client
- $2.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 139 | $233.4M |
| Investment companies | 5 | $449.6M |
| Charitable organizations | 27 | $83.4M |
| Other investment advisers | Fewer than 5 | $4.48B |
| High net worth individuals | 291 | $634.4M |
| Pooled investment vehicles | 5 | $63.4M |
| Pension and profit sharing plans | 45 | $141.3M |
| Individuals (other than high net worth individuals) | 2,638 | $585.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 33 | 30 | decreased by3 |
| Apr 1, 2026 | Clients | 3,334 | 3,154 | decreased by180 |
| Apr 1, 2026 | AUM | $5,611,078,759 | $6,675,795,755 | increased by$1,064,716,996 |
| Apr 1, 2026 | Accounts | 3,334 | 3,153 | decreased by181 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 31 | 33 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,278 | 3,334 | increased by56 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,711,194,308 | $5,611,078,759 | increased by$1,899,884,451 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,278 | 3,334 | increased by56 |
| Apr 1, 2022 | Employees | 38 | 31 | decreased by7 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 8,005 | 3,278 | decreased by4,727 |
| Apr 1, 2022 | AUM | $3,145,484,390 | $3,711,194,308 | increased by$565,709,918 |
| Apr 1, 2022 | Accounts | 8,005 | 3,278 | decreased by4,727 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “LADENBURG THALMANN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“LADENBURG THALMANN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.