SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
R. F. Lafferty & Co., Inc.
New York, NY
CRD 2498
Firm filing updated September 23, 2026 ·
- $129.8MAssets
- 125Clients
- 10Advisory staff
- 185Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- CommissionsYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals125
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 125 | $129.8 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$129.8 million
- Accounts185
- Discretionary$71.0 million · 125 accounts
- Non-discretionary$58.8 million · 60 accounts
People
- Employees80
- Advisory staff10
- Broker-dealer reps78
- Licensed insurance agents13
- Planning clients101 to 250
Advisors
8 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 2498, SEC file 801-107428.
- Registered with the SEC as an investment advisor (status date on record: April 1, 2016).
Is R. F. Lafferty & Co., Inc. a fiduciary?
Short answer: R. F. Lafferty & Co., Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 78 staff are broker-dealer representatives, the firm is itself a broker-dealer, the firm is itself a registered representative of a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
13 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.