Franklin Investment Advisory Services, LLC (San Mateo)


Franklin Investment Advisory Services, LLC is a large advisory firm based in San Mateo. It manages $8.36 billion of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of California.

Franklin Investment Advisory Services provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Franklin Investment Advisory Services: assets under management

The assets under management (AUM) of Franklin Investment Advisory Services, LLC is $8.36 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 351% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $8.36 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $8.36 billion each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Franklin Investment Advisory Services, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Franklin Investment Advisory Services, LLC

Greg Eugene Johnson has been acting as President since 1 Jul 2003. Mark Lecho Constant joined the executive team most recently as the Treasurer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Martin Lawrence Flanagan Executive vice president 1 May 1996 Other 2111957
Vivian Joseph Palmieri Vice president 1 Jun 1998 Other 355731
Charles Robert Sims Senior vice president of finance; treasurer and principal financial officer 1 Jun 2000 Other 4309261
Greg Eugene Johnson President 1 Jul 2003 Other 1549998
David Harrison Lui Chief compliance officer 1 Jun 2004 Other 2271801
Inc. Franklin Templeton Distributors Parent corporation of registrant - 100% 1 Sep 2004 75% - 100% 13-5599989
James Robert Baio Sr. vice president & cfo 1 Sep 2004 Other 2336447
James Murrell Davis Chief compliance officer 1 Feb 2005 Other 703327
Monica Waifong Poon Chief compliance officer 1 Sep 2005 Other 1590156
Shelly Marie Painter Treasurer 1 Aug 2006 Other 2296227
Craig Steven Tyle Chief legal officer 1 Dec 2006 Other 5026433
Madison Sterling Gulley Executive vice president 1 Dec 2006 Other 1862155
John Matthew Lusk President 1 Dec 2006 Other 2820581
Breda Mary Beckerle Chief compliance officer 1 Dec 2007 Other 1078762
Mark Lecho Constant Treasurer 1 Oct 2207 Other 2164003

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Inc. Franklin Resources Parent corporation of ftdi 1 Sep 2004 75% - 100% 13-2670991

Based in San Mateo

The principal office where Franklin Investment Advisory Services, LLC performs its advisory services is located at One Franklin Parkway, San Mateo, CA 94403, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 650-312-3000 or by fax 650-525-7141. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.franklintempleton.com.