SourcingSourcing

R. F. LAFFERTY & CO., INC.

B56
CRD 2498·SEC 801-107428·NEW YORK, NY
AUM
$129.8M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$389K
@ 30% margin
Est. Deal Value
$3.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
R. F. LAFFERTY & CO., INC.
CRD
2498
SEC file #
801-107428
EIN
—
DBA names
—

Economics

AUM
$129.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$85.5M → $129.8M▲ +52%
Client mix
Individuals High Net Worth125

Operations

Employees (total)
80
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'20'26
7 advisors → 10 advisors▲ +43%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMCommissions

Filings

Latest ADV filing
03/09/2026
ADV-W filed at
—
Website
rflafferty.com

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HACKEL, HENRY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
HACKEL, HENRY
HACKEL, ROBERT MATTHEW
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
RFLAFFERTY.COM
Rdap Domain Creation Date
2007-02-05T19:35:47Z
Rdap Firm Age Years
19
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
30,554
Form 5500 Compensation Trajectory 3y
202530,554
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
30,554
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
12
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-02-05T19:35:47Z
Rdap Domain Last Changed
2024-02-06T14:02:02Z
Rdap Nameservers
Ns25.domaincontrol.comNs26.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
232894
Trust Company Affiliate
No

People (51)

51
HENRY HACKEL
Direct Owner · 87.5%
232894
HACKEL, ROBERT MATTHEW
IAR · Executive Officer · 2.5%
2626413
JAY JEFFREY SHARTSIS
IAR
420368
ANDREW GEORGE CHARLES LINDNER
IAR
2239859
Guy S Ortmann
IAR
1711380
ARTHUR CLIFFORD KITTELSTAD
IAR
2001386
STUART ANDREW SACHS
IAR
3148915
James Richard Flanagan
IAR
209397
FRANCIS ALEXANDER MLYNARCZYK
IAR
2250955
James F Posner
IAR
4262055
HOLLY BEGLEY
IAR
3065651
ELISSA TAYLA SUSLOW
IAR
4056155
VICTOR SHAMILOV
IAR
5023511
ANTHONY B LOWBEER
IAR
313346
Bryan J Waiksnis
IAR
2726221
OBRIEN, BRENDAN, JOHN
IAR
3125421
Anthony Natale Howe
IAR
719304
ITALO PHILIP PASSANTE
IAR
2418831
BARRY IAN FORST
IAR
211436
LAWRENCE IRA HORN
IAR
1374659
MARCO ANTHONY CASALE
IAR
1663936
STEPHEN S SUSLOW
IAR
440234
EDWARD STEWART BYRNE
IAR
2092860
George Allen Davis
IAR
62048
Kevin G Malone
IAR
1407798
DAVID MITCHELL HALPERIN
IAR
2938987
ABRAHAM HELLER
IAR
1636080
JOHN Cowman George BOYCE
IAR
602646
EZRA GRAYMAN
IAR
500409
CHARLES PETER WINNICK
IAR
1231709
Christopher Galliano
IAR
7812524
IRENE MARGARET SULLIVAN
IAR
1271612
STEPHEN JAMES UTLEY
IAR
2608118
WILLIAM PAUL BEHRENS
IAR
16999
MICHAEL NEAL WOLLOCH
IAR
1634066
Jeffrey Zhang
IAR
7755654
VAN DREGGE OLMSTEAD
IAR
815874
WILLIAM TERRENCE BEHRENS
IAR
1982142
ROBERT JOSEPH STRAVINSKI
IAR
2751054
LOUIS JOSEPH CIAVARELLA
IAR
5283039
JOHN PATRICK KILLEEN
IAR
1147634
JANICE ARROTT GINSBURG
IAR
1026086
DAVID ALEJANDRO PEDROZA
IAR
2326925
Brandon Lawrence Van Akin
IAR
7503366
ATHANASIOS TOMARAS
IAR
2722538
James M McCrory
IAR
4140943
JOHN FREDERICK HEIDENREICH
IAR
715761
ERIC RICHARD BELZ
IAR
5495771
RICHARD JOHN BELZ
IAR
1140219
BARRY STEVEN POMP
IAR
2338889
RICHARD HUNT CROCKETT
IAR
1209667