Ladenburg Thalmann Asset Management Inc

CRD#108604
Investment Advisor Firm

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Learn more about Ladenburg Thalmann Asset Management Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Ladenburg Thalmann Asset Management Inc is located at 640 Fifth Avenue, New York, NY. The firm employs 18 financial advisors to manage client portfolios and provide financial guidance. Ladenburg Thalmann Asset Management Inc is not a registered broker-dealer.

    Ladenburg Thalmann Asset Management Inc oversees $4.3 billion in assets under management across 3,133 accounts, of which 2,727 are discretionary and 406 are non-discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, and other services. The firm caters to retail investors, high net worth investors, banking institutions, investment companies, pooled investment vehicles, pension plans, charitable organizations, other investment advisers, and corporations, with retail investors being the largest client type by accounts. The fee structure at Ladenburg Thalmann Asset Management Inc includes asset-based and hourly fees. The firm has 219 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, trust company, insurance company or agency, and pension consultant.

    Ladenburg Thalmann Asset Management Inc is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

    Assets Under Management

    $4.3 billion

    Number of Advisors

    18

    Disclosures

    No

    Office Location

    640 Fifth Avenue
    New York, NY 10019

    Ladenburg Thalmann Asset Management Inc by the Numbers

    Total Assets Under Management

    $4.3 billion

    National Average: $8.6 billion
    Total Number of Employees

    37

    National Average: 64
    Total Number of Accounts

    3,133

    National Average: 375,227
    Average Account Size

    $1.4 million

    National Average: $23.0 thousand
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    Products and Services

    Ladenburg Thalmann Asset Management Inc provides a number of financial services, which can consist of portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, and other services. Notably, Ladenburg Thalmann Asset Management Inc did not provide financial planning services to any of its customers in the previous fiscal year. The Company does not sell products or offer services apart from investment advice to its investment advisory clients.

    Core Advisor Services

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      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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      Publication of Periodicals

      This is the publication of various financial education materials.

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      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Financial advisory fees usually depend on the type of financial services offered. Fees charged by Ladenburg Thalmann Asset Management Inc may include some blend of the following fee types: asset-based or hourly. Wrap fee programs, or the practice of bundling services for a single fee, are provided by Ladenburg Thalmann Asset Management Inc.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company works with a number of different investors. It works with retail investors, high net worth investors, banking institutions, investment companies, pooled investment vehicles, pension plans, charitable organizations, other investment advisers, and corporations. Out of its 9 clients, Ladenburg Thalmann Asset Management Inc's largest client type by number of accounts is other investment advisers, but it also caters to 219 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 under management or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 7%
    • Other Individuals - 84.08%
    • Corporations - 8.12%
    • Charitable Organizations - 0.8%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Ladenburg Thalmann Asset Management Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Ladenburg Thalmann Asset Management Inc

    Timothy Eng
    New York, NY
    Michael Meechan
    New York, NY
    Audrey Treloar
    New York, NY
    Fred Boy
    Highlands Ranch, CO
    Benjamin Dennis
    New York, NY
    Josephine Paribello
    New York, NY
    Dan Daley
    Naples, FL
    Robert Baisch
    New York, NY
    Marc Weinberger
    Boca Raton, FL

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