INVESTACORP ADVISORY SERVICES INC
CRD #109011 SEC #801-57738 MIAMI, FL 305-557-3000
SEC Registered Broker-Dealer Disclosures
Total AUM
$2.2B
Discretionary
$1.8B
Employees
260
Clients
51
Accounts
9,856
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 26, 2020
- Branch Offices
- 123
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ARNEAUD, MARCUS, ANTHONY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | |
| CHILLEMI, DIANE, MARIE | I | DIRECTOR | NA | |
| CHILLEMI, DIANE, MARIE | I | DIRECTOR | NA | |
| CHILLEMI, DIANE, MARIE | I | DIRECTOR | NA | |
| Dudas, Stephen, Stanley | I | SVP/CFO | NA | Control |
| Dudas, Stephen, Stanley | I | SVP/CFO | NA | Control |
| Dudas, Stephen, Stanley | I | SVP/CFO | NA | Control |
| Dudas, Stephen, Stanley | I | SVP/CFO | NA | Control |
| Dudas, Stephen, Stanley | I | SVP/CFO | NA | Control |
| Dudas, Stephen, Stanley | I | SVP/CFO | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | SECRETARY/DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| FARRELL, PATRICK, CHRISTOPHER | I | CEO/ PRESIDENT/ DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | |
| KNAPP, CURT, WILLIAM | I | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| KNAPP, CURT, WILLIAM | I | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MANTECON, ASELA | I | EXECUTIVE VP/CFO/TREASURER | NA | Control |
| MCKENNA, NINA | I | SECRETARY | NA | Control |
| PECCI, PETER, GEORGE | I | EXECUTIVE VP/COO/SECRETARY | NA | Control |
| PECCI, PETER, GEORGE | I | EXECUTIVE VP/COO/SECRETARY | NA | Control |
| PECCI, PETER, GEORGE | I | EXECUTIVE VP/COO/SECRETARY | NA | Control |
| PECCI, PETER, GEORGE | I | EXECUTIVE VP/COO/SECRETARY | NA | Control |
| PECCI, PETER, GEORGE | I | EXECUTIVE VP/COO/SECRETARY | NA | Control |
| PRICE, JAMES, DALE | I | CHAIRMAN | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | VP; CHIEF COMPLIANCE OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | VP; CHIEF COMPLIANCE OFC. | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | VP; CHIEF COMPLIANCE OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | VP; CHIEF COMPLIANCE OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| RAPPAPORT, DAVID, MICHAEL | I | OFFICER | NA | Control |
| SCHLUETER, MATTHEW, ADAM | I | EXECUTIVE VICE PRESIDENT, DIRECTOR | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TSAPARLIS, MICHEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | CEO/PRESIDENT/DIRECTOR | NA | Control |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ZWIGARD, BRUCE, ALBERT | I | DIRECTOR | NA | |
| ADVISOR GROUP HOLDINGS, INC | DE | SHAREHOLDER | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES | DE | SOLE SHAREHOLDER OF INVESTACORP ADVISORY SERVICES, INC. | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO/PRESIDENT | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO/PRESIDENT | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
| ZWIGARD, BRUCE, ALBERT | I | CEO | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| ADVISOR GROUP HOLDINGS, INC. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG ARTEMIS HOLDINGS, L.P. | DE | AG INTERMEDIATE CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG INTERMEDIATE CORP. | DE | LADENBURG THALMANN FINANCIAL SERVICES | E | Control |
| AG INTERMEDIATE CORP. | DE | AG PARENT CORP. | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| AG PARENT CORP. | DE | ADVISOR GROUP HOLDINGS, INC. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
| RCP ARTEMIS CO-INVEST L.P. | DE | AG ARTEMIS HOLDINGS, L.P. | E | Control |
Registrations
Federal
IA
Jun 26, 2020 REGISTERED
Notice Filings (52)
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