# LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN ASSET MANAGEMENT INC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 108604
- Type: SEC-registered investment adviser
- SEC file number: 801-54909
- Location: 640 FIFTH AVENUE, 4TH FL., NEW YORK, NY, 10019
- Phone: 800-995-5267
- Latest filing: 2026-07-31
- Regulatory AUM: $6.7B
- Discretionary AUM: $1.8B
- Non-discretionary AUM: $4.8B
- Clients: 30
- Accounts: 3,153

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other

## Officers, owners & control persons (38)

_Showing 25 of 38 people._

| Name | Role | Location |
| --- | --- | --- |
| Nina McKenna | SECRETARY | New York, NY |
| Klein H David | CEO, CHAIRMAN OF THE BOARD | Herndon, VA |
| Milton Ralph Berlinski | GENERAL PARTNER; INVESTMENT MANAGER; MEMBER (+1 more) | New York, NY |
| Matthew Adam Schlueter | EVP; EVP, OPERATIONS & TECHNOLOGY SOLUTIONS | Atlanta, GA |
| James Dale Price | CHAIRMAN | Phonix, AZ |
| Christopher Mills Mitchell | TREASURER | — |
| Joseph Giovanniello | SVP | — |
| Philip Salvatore Blancato | PRESIDENT, CEO & DIRECTOR | — |
| Jaime Lynn Desmond | CHIEF OPERATIONS OFFICER | — |
| Madeline Yahaira Rutinel | CHIEF COMPLIANCE OFFICER | — |
| Scott Robert Seiffert | CHIEF FINANCIAL OFFICER | — |
| David Martin Schmidt | TREASURER | — |
| RUGGIERO JOHN HENRY | PRESIDENT; PRESIDENT, CCO | — |
| SCHLUETER MATTHEW ADAM | EVP | — |
| PRICE JAMES DALE | CHAIRMAN | — |
| MULLOOLY STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| MATEICKA ROBERT CHARLES | CHIEF COMPLIANCE OFFICER | — |
| GIARDINA SALVATORE | EVP/TREASURER | — |
| GIOVANNIELLO JOSEPH | SVP; SVP/GENERAL COUNSEL & SECRETARY | — |
| PEKAR THOMAS OCTAVE | EXECUTIVE VICE PRESIDENT, PORTFOLIO MANAGER; PORTFOLIO MANAGER | — |
| CROWLEY GEORGE FLURENCE | PORTFOLIO MANAGER | — |
| JOHNSTON CHARLES IRVINE | CEO | — |
| BLANCATO PHILIP SALVATORE | DIRECTOR OF ASSET MANAGEMENT; PRESIDENT; PRESIDENT, CEO & DIRECTOR (+1 more) | — |
| FRANCO COREY | CHIEF COMPLIANCE OFFICER | — |
| CHILLEMI DIANE MARIE | CHIEF FINANCIAL OFFICER | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2016-08-25 | regulatory | ALLEGED VIOLATIONS OF ADVISER ACT ADVERTISING AND RECORD KEEPING PROVISIONS IN CONNECTION WITH ADVERTISING OF THIRD-PARTY PERFORMANCE | Final | $200K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/108604/brochure
- Similar advisers: https://search.stillhousedata.com/firm/108604/similar
- Related entities: https://search.stillhousedata.com/firm/108604/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/108604

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.