LA FERLA GROUP LLC
Adviser information for LA FERLA GROUP LLC last updated from Form ADV on August 3rd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 714 | $258.2M |
| Non-Discretionary | 126 | $17.5M |
| Total | 840 | $275.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 444 | $112.3M |
| HNW Individuals | 68 | $154.5M |
| 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 | 5 | $5.1M |
| 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 | 4 | $3.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-92167 |
|---|---|
| SEC ERA File Number | 801-92167 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 174993 |
| Legal Entity Identifier | None |
Principal Office
1050 FRANKLIN AVENUESUITE 400
GARDEN CITY
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 877-257-9040, Fax: 888-474-4923
Chief Compliance Officer
LARRY NAKAMURA
VP
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
(305) 781-3040
L*************@**********M
(Full email address available in API data)
Regulatory Contact
SCOTT AKINS
REGULATORY COMPLIANCE CONSULTANT
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
(214) 893-7131
S**********@**********M
(Full email address available in API data)
Industry Affiliates
| CORIENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LA FERLA, JOSEPH, ANTHONY | Individual | – | MANAGING PRINCIPAL | 05/2015 | < 5% |
| CORDOVANO, THOMAS, DAVID | Individual | – | MANAGING PRINCIPAL | 05/2015 | < 5% |
| MACRI, JOHN, GLENN | Individual | – | MANAGING PRINCIPAL | 05/2015 | < 5% |
| GLASER, COURTNEY, L | Individual | – | CHIEF FINANCIAL OFFICER | 03/2016 | < 5% |
| DILLON, REGIS, R | Individual | – | MANAGING PRINCIPAL | 03/2021 | < 5% |
| NAKAMURA, LARRY, TRISTON | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| CORIENT PRIVATE WEALTH LLC | Domestic Entity | – | OWNER | 06/2023 | > 75% |
| CORIENT PARTNERS LLC | Domestic Entity | CORIENT PRIVATE WEALTH LLC | OWNER | 01/2022 | > 75% |
| CORIENT HOLDINGS INC | Domestic Entity | CORIENT PARTNERS LLC | OWNER | 02/2023 | > 75% |
| CI FINANCIAL CORP. | Domestic Entity | CORIENT HOLDINGS INC | OWNER | 11/2019 | > 75% |