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Lazard Middle Market LLC

Lazard Middle Market LLC is a Broker-Dealer with 57 financial professionals registered nationwide.

Advisors (57)

Name Start Date
Robert Sean Daugherty Jun 2008
Eric John Roth Jun 2008
Michael Basil Jul 2012
Mark William Evans May 2015
David Leslie Hallett Jun 2008
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Top ETF Holdings

No ETF holdings data available.

Firm Assets Under Management

Not Available
Total Assets
Not Available
Not Available
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.


  •   Lazard Freres & Co. LLC (75% or more)
  •   Lazard Group LLC (75% or more)
  •   Goldsmith, Agio, Helms & Lynner, LLC (75% or more)
  •   Laz-Md Holdings LLC (50% to 75%)
  •   Lazard Ltd. (25% to 50%)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's FINRA report. Executives with less than 5% share may not own any of the firm. Please see the FINRA report for complete disclosure.

Executives and Control Persons

Name Title Tenure Date
Richard Kirkland Cozine Chief Compliance Officer 09/01/2008
Michael Frederick Mcfadden Co-Ceo and Director 11/01/2007
Kyle Allen Pecha Chief Financial Officer 11/01/2007
Barry William Ridings Director & Chairman 11/01/2007
David John Solomon Co-Ceo & Director 11/01/2007

Affiliated Investment Advisors and Broker Dealers

Name Type Total Assets
Lazard Alternatives, LLC IAR $738,994,182
Lazard Freres & Co. LLC Broker-Dealer $65,754,415,790
Lazard Asset Management Canada Inc IAR $2,698,157,867
Lazard Asset Management LLC IAR $155,074,636,152
Lazard Asset Management Securities LLC Broker-Dealer
Lazard Capital Markets LLC Broker-Dealer

Principal Office & Place of Business

Principal Office

225 South Sixth Street, 46th Floor
Minneapolis , MN 55402
Phone Number: 612-339-0500
Other Offices Address City State Zip
225 South Sixth Street46Th Floor Minneapolis MN 55402
80 South Eighth Street27Th Floor Minneapolis MN 55402

Firm Compensation Arrangements

No compensation arrangements listed.