DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Ingalls Investment Management, LLC

Independent wealth managerNew York, New YorkCRD 343369SEC 801-5016websiteIAPD
Latest filing Jul 24, 2026
First filing on the tape Jul 24, 2026 · 1 filings
SEC status approved since Aug 21, 1968
RAUM
$7.8B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
87%
$6.8B individuals and HNW
Advisors
53
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
50
50 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $7.8B
HNW client RAUM: $5.8B
State-registered IARs (5.B.3): 50
Employees (5.A): 50
Private funds: 3
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
RAUM per advisor
$148MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.3MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
17.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.8B74%
  • Individuals$1.0B13%
  • Corporations and businesses$315M4.0%
  • Other investment advisers$264M3.4%
  • Pooled investment vehicles$189M2.4%
  • Charitable organizations$134M1.7%
  • Pension and profit-sharing plans$103M1.3%
Individual clients
3,155reported
HNW clients
1,090reported
Pension plan clients
51reported
Charitable clients
59reported
Accounts
4,453reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $472M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.87 fund_share=0.06 institutional_share=0.03 related_bd=false related_bank=false bd_reps=35.0derived
Advisors registered through the firm
53 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Keith Simon Lane-ZuckerNew York, NyAug 10, 202626 y0
Kevin Walsh GillardNew York, NyAug 10, 202614 y0
Bernard SelzNew York, NyAug 10, 202636 y0
Samuel ColleranNew York, NyAug 10, 202612 y2
Rochelle Faye WagenheimNew York, NyAug 10, 202625 y2
Adam F GrisantiNew York, NyAug 10, 202614 y0
Alice Barzun McleanNew York, NyAug 10, 202625 y0
Jason Saeed MoradNew York, NyAug 10, 202621 y3
H. Denis TonerNew York, NyAug 10, 202620 y1
Ingrid SchnauNew York, NyAug 10, 202623 y0
Sean Patrick MeehanNew York, NyAug 10, 202621 y0
John H HughesNew York, NyAug 10, 202619 y2
Cintia Alexandra KempkesCertified Financial PlannerNew York, NyAug 10, 202619 y2
Michael Kenneth NelsonNew York, NyAug 10, 202610 y0
Kimberly Ann QuinteroNew York, NyAug 10, 202615 y1
Christine StafstromNew York, NyAug 10, 202618 y4
Steven Edward PowersChartered Financial AnalystNew York, NyAug 10, 202627 y1
James Edwin ThatcherNew York, NyAug 10, 202615 y0
Yael Louise WestonNew York, NyAug 10, 202615 y0
Susan Reaves LeeNew York, NyAug 10, 202612 y0
Delphia PolleNew York, NyAug 10, 202612 y3
Hattie Mae WrightCertified Financial PlannerNew York, NyAug 10, 202612 y2
Deborah Ann RyanNew York, NyAug 10, 202611 y0
William Campbell MchaleNew York, NyAug 10, 202612 y0
Evan Wayne RappNew York, NyAug 10, 202610 y0
Benjamin Lee LanierNew York, NyAug 10, 202614 y1
Thomas Oneil BoucherNew York, NyAug 10, 202634 y0
Joseph James CircostaNew York, NyAug 10, 202613 y0
William Reed SimmonsNew York, NyAug 10, 202651 y0
Lori ZagerNew York, NyAug 10, 202644 y0
Guy Richards RiegelNew York, NyAug 10, 202644 y0
Thomas Mark ValenzuelaNew York, NyAug 10, 202610 y1
Christine Elizabeth WestonNew York, NyAug 10, 202644 y0
Robert Anthony CaseNew York, NyAug 10, 202619 y0
Michael BrayNew York, NyAug 10, 202640 y3
Marshall Van KaplanNew York, NyAug 10, 202640 y3
Lisa Ruth JamesNew York, NyAug 10, 202640 y1
Adam David JanovicNew York, NyAug 10, 202624 y0
Horace Shepard BooneNew York, NyAug 10, 202636 y0
Michael John KimbleChartered Financial AnalystNew York, NyAug 10, 202629 y0
All 53 advisors at Ingalls Investment Management, LLC
Advisor movement
0 left, 7 joined in 12 months
net +7 in 12 months0 left in 90 days7 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Anthony Robert Case · Executive Committee Membercontrol
        since 07/2026 · owns 5% to 10%
      • F Adam Grisanti · Executive Committee Membercontrol
        since 07/2026 · owns less than 5%
      • Simon Keith Lane-Zucker · Executive Committee Membercontrol
        since 07/2026 · owns 5% to 10%
      • Chihong Christian Park · Ccocontrol
        since 07/2026 · owns less than 5%
      • Edwin James Thatcher · Executive Committee Membercontrol
        since 07/2026 · owns 5% to 10%
      • Elizabeth Christine Weston · Executive Committee Membercontrol
        since 07/2026 · owns 5% to 10%
      Entity owners
      • I&S Group, LLC · Parent Holding Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      New York, Ny · principal53530
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • Ingalls Investment Management, LLC's advisors moved to Ingalls Investment Management, LLC (New York, NY): 12 of 13 registered, on the same day
        Aug 10, 2026 · Firm absorbed (people side) · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Business email
      bridgehampton@ingalls.netreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      customerservice@ingalls.netreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      technology@ingalls.netreportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      212-269-4176reportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      212-269-7800reportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      800-221-2598reportedpublished by the firm, firm site, Sep 15, 2026
      Website
      ingalls.netreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      2122697800reportedpublic record, Form ADV, Jul 24, 2026
      Contact form
      ingalls.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
      Team page
      ingalls.net/who-we-are/ingalls-snyder-professionalsreportedpublished by the firm, firm site, Sep 15, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $148Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026