SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Ladenburg Thalmann Asset Management Inc
New York, NY
CRD 108604
Firm filing updated September 1, 2026 ·
- $6.7BAssets
- 14Advisory staff
- 3,153Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals2,638
- High net worth individuals291
- Corporations or other businesses139
- Pension and profit sharing plans45
- Charities27
- and 2 more10
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 2,638 | $585.6 million |
| High net worth individuals | 291 | $634.4 million |
| Investment companies | 5 | $449.6 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 5 | $63.4 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 45 | $141.3 million |
| Charitable organizations | 27 | $83.4 million |
| Other investment advisors | Fewer than 5 clients | $4.5 billion |
| Corporations or other businesses not listed above | 139 | $233.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 6 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Other: "PROVIDE MODEL RECOMMENDATIONS TO OTHER RIAS"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment 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 advisors (including private fund managers)
- Other: "PROVIDE MODEL RECOMMENDATIONS TO OTHER RIAS"
Assets and accounts
- Regulatory assets$6.7 billion
- Accounts3,153
- Discretionary$1.8 billion · 2,860 accounts
- Non-discretionary$4.8 billion · 293 accounts
People
- Employees30
- Advisory staff14
- Broker-dealer reps25
- Licensed insurance agents2
- Planning clients0
Advisors
15 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 108604, SEC file 801-54909.
- Registered with the SEC as an investment advisor (status date on record: October 16, 1997).
Is Ladenburg Thalmann Asset Management Inc a fiduciary?
Short answer: Ladenburg Thalmann Asset Management Inc is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 25 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
2 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.