DFX Intelligence

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

TAGLICH BROTHERS, INC.

CRD 29102

COLD SPRING HARBOR, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:aa3e0586-76ab-b55b-f101-b7119bfbb6cd

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 2
Observed: Mar 29, 2012 to Mar 25, 2026
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Taglich Brothers, Inc.

Venture manager · shared crd

Independent Sponsorsidentity

Taglich Brothers, Inc.

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $37.7MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $16.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 43%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 186
High net worth clients: 111
SEC number: 801-68376
CRD: 29102
Filings on the tape: 25
First filed: Mar 29, 2012
Latest filed: Mar 25, 2026
Organised: Corporation, NY
Website: taglichbrothers.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
TAGLICH, MICHAEL NICHOLAS	PRESIDENT, CEO, FINOP, ROP	D	yes	09/1991	Mar 29, 2012	Nov 6, 2024
TAGLICH, ROBERT FRANCIS	VICE PRESIDENT	D	yes	01/1992	Mar 29, 2012	Nov 6, 2024
OH, RICHARD C	CHIEF COMPLIANCE OFFICER	Na	no	11/2004	Mar 29, 2012	Nov 6, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$37.7M	$0	5	2	0	n/a	n/a
2024	Apr 15, 2025	$45.1M	$0	9	2	0	n/a	n/a
2023	Feb 6, 2024	$57.5M	$0	3	2	0	n/a	n/a
2022	Mar 1, 2023	$49.2M	$0	3	2	0	n/a	n/a
2021	Jan 31, 2022	$71.6M	$0	3	2	0	n/a	n/a
2020	Mar 8, 2021	$70.5M	$0	4	2	0	n/a	n/a
2019	Apr 16, 2020	$76.9M	$0	4	2	0	n/a	n/a
2018	Mar 27, 2019	$107M	$0	4	2	0	n/a	n/a
2017	Mar 30, 2018	$84.3M	$0	3	2	0	n/a	n/a
2016	Feb 6, 2017	$101M	$0	20	2	n/a	n/a	n/a
2015	Feb 5, 2016	$114M	$0	20	2	n/a	n/a	n/a
2014	Mar 25, 2015	$109M	$0	20	2	n/a	n/a	n/a
2013	Mar 20, 2014	$112M	$0	20	2	n/a	n/a	n/a
2012	Apr 2, 2013	$66.7M	$0	20	2	n/a	n/a	n/a
2011	Mar 29, 2012	$64.5M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$37.7M	$45.1M	-16.5%	$49.2M	-8.5%	5	9	0	0

Relationships

Registered with (1)

← MICHAEL NICHOLAS TAGLICHAdvisorregistration: previous registration
Apr 24, 2026 to May 14, 2026factForm ADV

Controls (2)

← TAGLICH, MICHAEL NICHOLASOwnerPRESIDENT, CEO, FINOP, ROP, ownership code D, individual
Mar 29, 2012 to Nov 6, 2024factForm ADV
← TAGLICH, ROBERT FRANCISOwnerVICE PRESIDENT, ownership code D, individual
Mar 29, 2012 to Nov 6, 2024factForm ADV

Owns (1)

← OH, RICHARD COwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to Nov 6, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 14, 2026
Advisor changed firm
Michael Nicholas Taglich left Taglich Brothers, Inc. for Aegis Capital Corp. (registered 2026-04-28)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Jun 1, 2026
Taglich Brothers, Inc. no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $37.7M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa3e0586-76ab-b55b-f101-b7119bfbb6cd
First observed: Mar 29, 2012
Last observed: Mar 25, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TAGLICH BROTHERS, INC.

CRD 29102

COLD SPRING HARBOR, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:aa3e0586-76ab-b55b-f101-b7119bfbb6cd

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:29 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TAGLICH, MICHAEL NICHOLAS

PRESIDENT, CEO, FINOP, ROP

yes

09/1991

Mar 29, 2012

Nov 6, 2024

TAGLICH, ROBERT FRANCIS

VICE PRESIDENT

yes

01/1992

Mar 29, 2012

Nov 6, 2024

OH, RICHARD C

CHIEF COMPLIANCE OFFICER

11/2004

Mar 29, 2012

Nov 6, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$37.7M

n/a

2024

Apr 15, 2025

$45.1M

n/a

2023

Feb 6, 2024

$57.5M

n/a

2022

Mar 1, 2023

$49.2M

n/a

2021

Jan 31, 2022

$71.6M

n/a

2020

Mar 8, 2021

$70.5M

n/a

2019

Apr 16, 2020

$76.9M

n/a

2018

Mar 27, 2019

$107M

n/a

2017

Mar 30, 2018

$84.3M

n/a

2016

Feb 6, 2017

$101M

n/a

2015

Feb 5, 2016

$114M

n/a

2014

Mar 25, 2015

$109M

n/a

2013

Mar 20, 2014

$112M

n/a

2012

Apr 2, 2013

$66.7M

n/a

2011

Mar 29, 2012

$64.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$37.7M

$45.1M

-16.5%

$49.2M

-8.5%