R. F. LAFFERTY & CO., INC.
Adviser information for R. F. LAFFERTY & CO., INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 16 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 104 | $34.1M |
| Non-Discretionary | 0 | $0 |
| Total | 104 | $34.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 52 | $9.7M |
| HNW Individuals | 43 | $20.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $4.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-107428 |
|---|---|
| SEC ERA File Number | 801-107428 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 2498 |
| Legal Entity Identifier | None |
Principal Office
40 WALL STREETNEW YORK
NY
United States
Monday - Friday, 8:00 AM -5:00 PM
Tel: 212-293-9090, Fax: 212-344-0138
Websites
Chief Compliance Officer
ROBERT HACKEL
CCO
40 WALL STREET
28TH FLOOR
NEW YORK
NY
United States
Tel:
212 293 9090
R******@*************M
(Full email address available in API data)
Regulatory Contact
DAVID JAINDL MARTIN
BROKER-DEALER CCO
40 WALL STREET
28TH FLOOR
NEW YORK
NY
United States
Tel:
212-293-9044
D******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HACKEL, HENRY | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER OF BROKER DEALER | 10/1980 | > 75% |
| HACKEL, ROBERT MATTHEW | Individual | – | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA | 03/2010 | < 5% |