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INGALLS INVESTMENT MANAGEMENT, LLC

NEW YORK, NY · CRD 2288 · IAPD ↗ · ingalls.net · 212-269-7800

$7.83BRegulatory AUM
50Advisory reps
50Employees
1Clients
11-25Planning clients
3Private funds
48States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
October 2026 — INGALLS INVESTMENT MANAGEMENT, LLC (NEW YORK, NY) left the SEC roster (was $7.83B RAUM, 50 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
60
August 2026 — INGALLS & SNYDER LLC is now doing business as INGALLS INVESTMENT MANAGEMENT, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
55
January 2025 — INGALLS & SNYDER LLC's Item 11 disclosure-reporting entries rose by 1 (3 -> 4).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
63
January 2025 — INGALLS & SNYDER LLC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
66
January 2025 — INGALLS & SNYDER LLC reported RAUM up 32% ($5.23B -> $6.90B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
January 2025 — INGALLS & SNYDER LLC grew from 45 to 50 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.