LADENBURG THALMANN FUND MANAGEMENT LLC

CRD #129787 SEC #801-63441 NEW YORK, NY 212-409-2000

SEC Registered

Total AUM

$27.2M

Discretionary

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Apr 2, 2018
Branch Offices: 0

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BLANCATO, PHILIP, SALVATORE	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
BOYAR, MARK, ALAN	I	MANAGER	NA	Control
CHILLEMI, DIANE, MARIE	I	CHIEF FINANCIAL OFFICER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DALMASO, NICHOLAS	I	MANAGER AND CHIEF COMPLIANCE OFFICER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DALMASO, NICHOLAS	I	MANAGER	NA	Control
DESMOND, JAIME, LYNN	I	CHIEF COMPLIANCE OFFICER	NA
DESMOND, JAIME, LYNN	I	CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER	NA	Control
EVANS, STUART, ASHLEY	I	CHIEF COMPLIANCE OFFICER	NA	Control
EVANS, STUART, ASHLEY	I	CHIEF COMPLIANCE OFFICER	NA	Control
EVANS, STUART, ASHLEY	I	CHIEF COMPLIANCE OFFICER	NA	Control
EVANS, STUART, ASHLEY	I	CHIEF COMPLIANCE OFFICER	NA	Control
EVANS, STUART, ASHLEY	I	CHIEF COMPLIANCE OFFICER	NA	Control
FRANCO, COREY	I	CHIEF COMPLIANCE OFFICER	NA	Control
FRANCO, COREY	I	CHIEF COMPLIANCE OFFICER	NA	Control
FRANCO, COREY	I	CHIEF COMPLIANCE OFFICER	NA	Control
FRANCO, COREY	I	CHIEF COMPLIANCE OFFICER	NA	Control
GIANNOTTO, MICHAEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
GIANNOTTO, MICHAEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
GIANNOTTO, MICHAEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
GIANNOTTO, MICHAEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
GIANNOTTO, MICHAEL, JOSEPH	I	CHIEF COMPLIANCE OFFICER	NA
GIOVANNIELLO, JOSEPH, N/A	I	SVP/GENERAL COUNSEL & SECRETARY	NA	Control
MATEICKA, ROBERT, CHARLES	I	CHIEF COMPLIANCE OFFICER	NA
MATEICKA, ROBERT, CHARLES	I	CHIEF COMPLIANCE OFFICER	NA
MATEICKA, ROBERT, CHARLES	I	CHIEF COMPLIANCE OFFICER	NA
MATEICKA, ROBERT, CHARLES	I	CHIEF COMPLIANCE OFFICER	NA
MATEICKA, ROBERT, CHARLES	I	CHIEF COMPLIANCE OFFICER	NA
MATEICKA, ROBERT, CHARLES	I	CHIEF COMPLIANCE OFFICER	NA	Control
MULLOOLY, STEVEN, MICHAEL	I	CHIEF COMPLIANCE OFFICER	NA
MULLOOLY, STEVEN, MICHAEL	I	CHIEF COMPLIANCE OFFICER	NA
MULLOOLY, STEVEN, MICHAEL	I	CHIEF COMPLIANCE OFFICER	NA
MULLOOLY, STEVEN, MICHAEL	I	CHIEF COMPLIANCE OFFICER	NA
MULLOOLY, STEVEN, MICHAEL	I	CHIEF COMPLIANCE OFFICER	NA
RUGGIERO, JOHN, HENRY	I	MANAGER	NA	Control
RUGGIERO, JOHN, HENRY	I	MANAGER	NA	Control
RUGGIERO, JOHN, HENRY	I	MANAGER	NA	Control
RUGGIERO, JOHN, HENRY	I	MANAGER	NA	Control
LADENBURG THALMANN & CO. INC.	DE	INDIRECT SHAREHOLDER	E	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	INDIRECT SHAREHOLDER	E	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD	DE	SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
EBBETTS FIELD ASSOCIATION, LLC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	D	Control
CLAYMORE GROUP, LLC	DE	INDIRECT SHAREHOLDER	C	Control
CLAYMORE SECURITIES, INC.	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control
LADENBURG THALMANN ASSET MANAGEMENT INC	DE	DIRECT SHAREHOLDER	C	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN & CO. INC.	DE	LADENBURG THALMANN ASSET MANAGEMENT INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control
LADENBURG THALMANN FINANCIAL SERVICES	DE	LADENBURG THALMANN & CO., INC.	C	Control

Registrations

Federal

Apr 2, 2018 REGISTERED

Notice Filings (2)

IL NY

Address

277 PARK AVENUE
NEW YORK, NY 10172
United States

Phone: 212-409-2000