TAGLICH BROTHERS, INC.
Adviser information for TAGLICH BROTHERS, INC. last updated from Form ADV on February 7th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 195 | $57.5M |
| Total | 195 | $57.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 121 | $25.4M |
| 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 | 74 | $32.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMTAGLICH RECEIVES PLACEMENT AGENT FEES IN CONNECTION WITH ADVISOR |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-68376 |
|---|---|
| SEC ERA File Number | 801-68376 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 29102 |
| Legal Entity Identifier | None |
Principal Office
37 MAIN STREETCOLD SPRING HARBOR
NY
United States
Monday - Friday, 9AM-5PM MON-THURS; 9AM-4PM FRIDAY
Tel: 631-757-1500, Fax: 631-757-1333
Websites
Chief Compliance Officer
RICHARD OH
VICE PRESIDENT
37 MAIN STREET
COLD SPRING HARBOR
NY
United States
Tel:
631-757-1500
Fax:
631-757-1333
O**@******************M
(Full email address available in API data)
Regulatory Contact
MICHAEL N TAGLICH
PRESIDENT
37 MAIN STREET
COLD SPRING HARBOR
NY
United States
Tel:
6317571500
M*******@******************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 |
|---|---|---|---|---|---|
| TAGLICH, MICHAEL NICHOLAS | Individual | – | PRESIDENT, CEO, FINOP, ROP | 09/1991 | 50-75% |
| TAGLICH, ROBERT FRANCIS | Individual | – | VICE PRESIDENT | 01/1992 | 50-75% |
| OH, RICHARD C | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2004 | < 5% |