# R. F. Lafferty & Co., Inc.

> 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.

- CRD: 2498
- Filed as: R. F. LAFFERTY & CO., INC.
- Also doing business as: DPR WEALTH MANAGEMENT, FULCRUM GROUP
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/2498
- AdvisorCensus page: https://advisorcensus.com/firm/r-f-lafferty-and-co-inc-new-york-ny-2498

## Quick answers

**How is R. F. Lafferty & Co., Inc. compensated?**
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.

**How much does R. F. Lafferty & Co., Inc. charge?**
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.

**Where is R. F. Lafferty & Co., Inc. located?**
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).

**Is R. F. Lafferty & Co., Inc. registered with the SEC or a state?**
R. F. Lafferty & Co., Inc. is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 2498.

**How much does R. F. Lafferty & Co., Inc. manage?**
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).

**How have R. F. Lafferty & Co., Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does R. F. Lafferty & Co., Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (125).

**Does R. F. Lafferty & Co., Inc. report any disciplinary disclosures?**
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

**What changed in R. F. Lafferty & Co., Inc.'s recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Commissions

### Fees and minimums (Form ADV Part 2A brochure dated August 12, 2026)

- Minimum annual fee: $100

> 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.

- Hourly rate: $200 an hour

> Note: Minimum rate of $200/hour to be invoiced quarterly, in arrears, by R. F. Lafferty & Co., Inc.

- Flat fee: $1,500 to $25,000 (financial plan)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $129,823,421
- Discretionary: $71,007,545
- Non-discretionary: $58,815,876

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 125 | $129,823,421 |
| Investment companies | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2016 (10 years)
- Employees: 80 total, 10 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, DC, DE, FL, GA, KY, MA, MD, ME, NC, NJ, NY, OR, PA, SC, TN, TX, VA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/2498

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Chadds Ford, PA

### Websites listed on Form ADV (Item 1.I)
- rflafferty.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $96,055,631 | 70 | March 18, 2021 |
| October 2022 | $103,435,214 | 70 | August 24, 2022 |
| October 2023 | $34,144,753 | 16 | March 31, 2023 |
| October 2024 | $90,879,915 | 67 | April 2, 2024 |
| October 2025 | $153,036,482 | 80 | July 16, 2025 |
| October 2026 | $129,823,421 | 80 | September 23, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

### September 2026
- Registered or notice-filed in ME.

### April 2026
- 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.

### March 2026
- Registered or notice-filed in SC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. R. F. Lafferty & Co., Inc. (CRD 2498): Form ADV filing data as of October 2026.