{
  "crd_number": 2498,
  "slug": "r-f-lafferty-and-co-inc-new-york-ny-2498",
  "primary_business_name": "R. F. LAFFERTY & CO., INC.",
  "legal_name": "R. F. LAFFERTY & CO., INC.",
  "dbas": [
    "DPR WEALTH MANAGEMENT",
    "FULCRUM GROUP"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2016-04-01",
  "years_registered": 10,
  "period": "2026-10-01",
  "filing_date": "2026-09-23",
  "carried_forward": false,
  "raum_total": 129823421.0,
  "raum_discretionary": 71007545.0,
  "raum_non_discretionary": 58815876.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 80,
  "advisory_employees": 10,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 129823421.0,
      "count": 125
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "commissions",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "CA",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "KY",
    "MA",
    "MD",
    "ME",
    "NC",
    "NJ",
    "NY",
    "OR",
    "PA",
    "SC",
    "TN",
    "TX",
    "VA"
  ],
  "websites": [
    "https://rflafferty.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/2498",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/r-f-lafferty-and-co-inc-new-york-ny-2498",
  "display_name": "R. F. Lafferty & Co., Inc.",
  "summary": "R. F. Lafferty & Co., Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2016, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 23, 2026.",
  "citation": "AdvisorCensus. R. F. Lafferty & Co., Inc. (CRD 2498): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is R. F. Lafferty & Co., Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), R. F. Lafferty & Co., Inc. reports these compensation arrangements: a percentage of assets under its management; commissions."
    },
    {
      "q": "How much does R. F. Lafferty & Co., Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated August 12, 2026 states: Hourly rate: $200 an hour; Flat fee: $1,500 to $25,000 (financial plan). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is R. F. Lafferty & Co., Inc. located?",
      "a": "R. F. Lafferty & Co., Inc.'s principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is R. F. Lafferty & Co., Inc. registered with the SEC or a state?",
      "a": "R. F. Lafferty & Co., Inc. is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 2498."
    },
    {
      "q": "How much does R. F. Lafferty & Co., Inc. manage?",
      "a": "R. F. Lafferty & Co., Inc. reports $129,823,421 in regulatory assets under management in its Form ADV filing dated September 23, 2026 (55% discretionary)."
    },
    {
      "q": "How have R. F. Lafferty & Co., Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for R. F. Lafferty & Co., Inc.: Regulatory assets under management: $96,055,631 in the October 2021 data and $129,823,421 in the October 2026 data, up 35%. Total employees: 70 in October 2021 and 80 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does R. F. Lafferty & Co., Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (125)."
    },
    {
      "q": "Does R. F. Lafferty & Co., Inc. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/2498"
    },
    {
      "q": "What changed in R. F. Lafferty & Co., Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 96055631.0,
      "total_employees": 70,
      "filing_date": "2021-03-18"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 103435214.0,
      "total_employees": 70,
      "filing_date": "2022-08-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 34144753.0,
      "total_employees": 16,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 90879915.0,
      "total_employees": 67,
      "filing_date": "2024-04-02"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 153036482.0,
      "total_employees": 80,
      "filing_date": "2025-07-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 129823421.0,
      "total_employees": 80,
      "filing_date": "2026-09-23"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Registered or notice-filed in ME."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name DPR Wealth Management.",
        "Regulatory assets under management went from $153,036,482 to $129,823,421 (-15%).",
        "Added an office in Chadds Ford, PA.",
        "No longer lists an office in Oldsmar, FL.",
        "No longer lists an office in Radnor, PA."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Registered or notice-filed in SC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated August 12, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": "$100",
    "planning_fees": [
      "Hourly rate: $200 an hour",
      "Flat fee: $1,500 to $25,000 (financial plan)"
    ],
    "figures": [
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: $100"
        ],
        "quotes": [
          "If termination occurs prior to the end of a calendar quarter, a pro-rata refund of unearned fees will be made to the client, provided that the minimum annual fee requirement in the amount of $100.00 has been satisfied."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $200 an hour"
        ],
        "quotes": [
          "Note: Minimum rate of $200/hour to be invoiced quarterly,       in arrears, by R. F. Lafferty & Co., Inc."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,500 to $25,000 (financial plan)"
        ],
        "quotes": [
          "If the client requests, the IA Rep will quote a fixed fee ranging from $1,500 to $25,000, depending upon the nature and complexity of services, the client’s financial situation, and the anticipated time to be incurred."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": 100.0,
      "planning": [
        {
          "kind": "hourly",
          "amount": 200.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": null
        },
        {
          "kind": "flat",
          "amount": null,
          "min": 1500.0,
          "max": 25000.0,
          "period": "one_time",
          "service": "financial plan"
        }
      ]
    },
    "quotes": [
      "If termination occurs prior to the end of a calendar quarter, a pro-rata refund of unearned fees will be made to the client, provided that the minimum annual fee requirement in the amount of $100.00 has been satisfied.",
      "Note: Minimum rate of $200/hour to be invoiced quarterly,       in arrears, by R. F. Lafferty & Co., Inc.",
      "If the client requests, the IA Rep will quote a fixed fee ranging from $1,500 to $25,000, depending upon the nature and complexity of services, the client’s financial situation, and the anticipated time to be incurred."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/r-f-lafferty-and-co-inc-new-york-ny-2498.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 125,
      "fewer_than_5": false,
      "raum": 129823421.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/2498",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}