9AT: LADENBURG THALMANN ASSET MANAGEMENT INC

Adviser Profile

As of Date	05/29/2026
Registration	SEC, Approved, 10/16/1997
ADV Location	NEW YORK, NY, United States
Contact Info	800 xxxxxxx
Websites

AUM^*	6,675,795,755 55%
of that, discretionary	1,834,895,826 39%
Number of Employees	30 -19%
of those in investment advisory functions	14 -22%
Private Fund GAV^*	0
Avg Account Size	2,117,284 54%
% High Net Worth	9.23% 32%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- Other investment advisers
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser ZEPHYR WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM242.8m	#Funds-
Adviser QUANTITATIVE PROCESS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM502.1m	#Funds-
Adviser FIDUCIARY ADVISOR ADVOCATES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM106.4m	#Funds-
Adviser OHIGGINS ASSET MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM194.8m	#Funds-
Adviser HUMAN INVESTING	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.2b	#Funds-
Adviser DUNBAR ASSOCIATES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM307.5m	#Funds-
Adviser CAP STRAT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM21.3b	#Funds-
Adviser WORLD INVESTMENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM71.6b	#Funds-
Adviser SERENITY INVESTMENT ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM513.6m	#Funds-
Adviser CONSOLIDATED FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM588.7m	#Funds-

Brochure Summary

Overview

LTAM Advisory Services Each client has a Financial Adviser, who may be a Financial Adviser of Ladenburg Thalmann Asset Management Inc. (“LTAM”), Triad Advisors, LLC., Osaic Advisory Services, LLC., Securities America Advisors, Inc., and Arbor Point Advisors, LLC. all of which are affiliates of LTAM, as described in “Other Financial Industry Activities and Affiliations” below. The Financial Adviser may also be registered as, or a Financial Adviser of, an investment adviser that is not affiliated with LTAM. The Financial Adviser may also be a broker-dealer representative of Ladenburg Thalmann & Co. Inc., (“LTCO”), Triad Advisors, LLC., or Securities America, Inc. Clients who wish to participate in the LAMP – Managed Annuity Program will enter into a LAMP-Managed Annuity Program agreement. The agreement will set forth which investment advisory entity is providing consulting services in connection with the client’s account. In addition to signing the LAMP-Managed Annuity Program agreement, clients must complete documentation necessary under the applicable variable annuity contract to grant the applicable adviser and LTAM the authority and access to information necessary to perform the services set forth in the agreement. Clients inform their Financial Advisers of the investment objectives, risk tolerance, and investment time horizon, and any investment policies,

guidelines, or reasonable restrictions applicable to the assets under the variable annuity contract that they want managed in the LAMP–Managed Annuity Program. Based on the information provided, the Financial Adviser assists the client in selecting an investment strategy for the client’s account from those available through the program. A team of investment managers employed by Ladenburg Thalmann Asset Management Inc. (“LAMP Managers”) manage the accounts in LAMP on a discretionary basis by allocating the assets between available sub-accounts in accordance with the investment strategy that the client selects and information provided by the client. Any restrictions on the management of an account imposed by a client may cause the LAMP Managers to deviate from the investment decisions they would otherwise make in managing the account. LTAM will not have the discretion to select a different investment strategy without the client’s written authorization. LTAM provides various other types of advisory services in addition to and separate from the services described in this brochure. These services are described in other LTAM brochures. More information about these services is available upon request. Assets Managed LTAM managed $1,323,304,392 of assets on a discretionary basis and $2,995,533,783 of assets on a non- discretionary basis as of 12/31/2023.

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN ASSET MANAGEMENT INC

GORDON WEALTH

THE CUNDY GROUP

THE BRESLIN GROUP

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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LADENBURG THALMANN ASSET MANAGEMENT INC LADENBURG THALMANN ASSET MANAGEMENT INC GORDON WEALTH THE CUNDY GROUP THE BRESLIN GROUP

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN ASSET MANAGEMENT INC

GORDON WEALTH

THE CUNDY GROUP

THE BRESLIN GROUP