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R. F. LAFFERTY & CO., INC.

NEW YORK, NY · CRD 2498 · IAPD ↗ · rflafferty.com · 212-293-9090

$129.8MRegulatory AUM
10Advisory reps
80Employees
60Clients
101-250Planning clients
0Private funds
19States
5Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
September 2026 — R. F. LAFFERTY & CO., INC. notice-filed in ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
March 2026 — R. F. LAFFERTY & CO., INC. notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2025 — R. F. LAFFERTY & CO., INC. reported RAUM up 68% ($90.9M -> $153.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
69
April 2025 — R. F. LAFFERTY & CO., INC. grew from 6 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2025 — R. F. LAFFERTY & CO., INC. reports 101-250 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
75
April 2025 — R. F. LAFFERTY & CO., INC. now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
44
February 2025 — R. F. LAFFERTY & CO., INC. notice-filed in TN, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
May 2024 — R. F. LAFFERTY & CO., INC. notice-filed in KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
May 2024 — R. F. LAFFERTY & CO., INC. reported RAUM up 166% ($34.1M -> $90.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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