Data / Investment advisers / New York / R. F. Lafferty & Co., Inc.
R. F. Lafferty & Co., Inc., New York, NY: $130 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
R. F. Lafferty & Co., Inc. is an SEC registered investment adviser with its main office in New York, New York and reports $130 million in regulatory assets under management in its Form ADV filed September 23, 2026. Its clients include high net worth individuals. It is paid through a percentage of assets under management and commissions.
The request: Watch R. F. Lafferty & Co., Inc. (CRD number 2498): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 2498
- SEC file number
- 801-107428
- SEC status
- Approved, effective April 1, 2016
- Main office
- 40 Wall Street Suite 3602, New York, NY 10005
- Phone
- (212) 293-9090
- Website
- rflafferty.com
- Regulatory AUM
- $129,823,421 in the Form ADV filed September 23, 2026
- Discretionary AUM
- $71,007,545
- Non discretionary AUM
- $58,815,876
- Accounts
- 185
- Employees
- 80, of which 10 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, commissions
- Other offices
- 1
- Form ADV Item 11 disclosures
- Reported: self-regulatory organization actions
- Latest Form ADV filing
- September 23, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 125 | $129.8 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $129.8 million | March 9, 2026 |
| December 1, 2025 | $153 million | August 28, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Ronin Equity Partners LLC | New York | $131.1 million | 4 | adviserinfo.sec.gov |
| Man Capital Management LLC | New York | $130.8 million | 1 | adviserinfo.sec.gov |
| Montgomery Capital Advisors LLC | New York | $130.1 million | Not listed | adviserinfo.sec.gov |
| Wise Wealth Management, LLC | New York | $130.1 million | Not listed | adviserinfo.sec.gov |
| Sophis Investments LLC | New York | $129.9 million | Not listed | adviserinfo.sec.gov |
| Citigroup Alternative Investments LLC | New York | $127.4 million | 7 | adviserinfo.sec.gov |
| Bone Fide Wealth | New York | $126.7 million | Not listed | adviserinfo.sec.gov |
| P&A Capital Advisors | New York | $126.4 million | 3 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- R. F. Lafferty & Co., Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.