Wealth manager, independent · New York, NY
Ingalls Investment Management, LLC
SEC-registered investment adviser · CRD 343369 · SEC 801-5016
At a glance
Ingalls Investment Management, LLC is an SEC-registered investment adviser based in New York, New York, with $7.8B in regulatory assets under management as of its Form ADV filed September 18, 2026. It reports 4,245 individual clients, 1,090 of them high-net-worth, holding an average of about $1.6 million each, and 50 employees. That ranks it 134th among the nation’s 5,657 independent wealth management RIAs and 17th of 408 in New York. It reports 3 custodians for its clients’ separately managed accounts: Ingalls & Snyder, Charles Schwab and Morgan Stanley.
New to the $1 billion list this month. This month’s movers →
Main office 212-269-7800ingalls.netAs filed on Form ADV
- Regulatory AUM
- $7.8B
- Rank among independent wealth managers
- #134 of 5,657
- Rank among all SEC RIAs
- #1,591 of 17,210
- Rank in New York
- #17 of 408
- Individual clients
- 4,245
- High-net-worth clients
- 1,090
- Accounts
- 4,453
- Discretionary
- 98% of AUM
- Employees
- 50
- Advisory staff
- 50
- Offices
- 2
Owners and executives on its Form ADV
- Robert A. CaseCEO
- Adam F GrisantiCFO
- Christian C. ParkCCO
- James E. ThatcherExecutive Committee Member
- Keith S. Lane-ZuckerExecutive Committee Member
- Christine E. WestonExecutive Committee Member
- Christian C. ParkExecutive Committee Member
- Adam F GrisantiExecutive Committee Member
- Robert A. CaseExecutive Committee Member
Custody and brokerage
3 custodians
- Ingalls & SnyderAffiliate of the firm$4.5B69%
- Charles Schwab$1.6B24%
- Morgan Stanley$468M7%
Broker-dealer
Hybrid RIA
Ingalls Investment Management, LLC is a hybrid RIA: 35 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Ingalls & Snyder, LLC.
- Ingalls & Snyder, LLC ↗CRD 2288
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,090 | $5.8B | 74% |
| Individuals | 3,155 | $1.0B | 13% |
| Corporations or other businesses | 94 | $315M | 4% |
| Other investment advisers | 1 | $264M | 3% |
| Pooled investment vehicles | 3 | $189M | 2% |
| Charitable organizations | 59 | $134M | 2% |
| Pension and profit sharing plans | 51 | $103M | 1% |
Private funds
Ingalls Investment Management, LLC reports 3 private funds with $142M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Ingalls Investment Management, LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗ingalls.net ↗
AtlasMembers
The full record on Ingalls Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff from each filing
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- Growth over one, three and five years
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- Rank against 528 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Ritholtz Wealth ManagementNew York | $9.4B | 4,139 |
| Joel Isaacson & Co., LLCNew York | $9.3B | 1,267 |
| Douglas C. Lane & AssociatesNew York | $8.4B | 1,084 |
| TAG Associates LLCNew York | $7.1B | 80 |
| Cannell & Spears LLCNew York | $7.0B | 2,394 |
| Stelac Advisory Services LLCNew York | $6.3B | 98 |
Background
Questions
How much does Ingalls Investment Management, LLC manage?
Ingalls Investment Management, LLC reports $7.8B in regulatory assets under management across 4,453 accounts, 98% of it on a discretionary basis, on its Form ADV filed September 18, 2026.
How many clients does Ingalls Investment Management, LLC have?
It reports 4,245 individual clients: 1,090 high-net-worth individuals and 3,155 other individuals. Individuals account for about 87% of its regulatory assets.
Where is Ingalls Investment Management, LLC headquartered?
Its main office is in New York, New York. It reports 2 offices in total and 50 employees, 50 of whom perform investment advisory functions.
How does Ingalls Investment Management, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Ingalls Investment Management, LLC use?
It reports 3 custodians for its clients’ separately managed accounts: Ingalls & Snyder, Charles Schwab and Morgan Stanley. On Schedule D of its Form ADV filed September 18, 2026, it reports these amounts held: Ingalls & Snyder ($4.5B); Charles Schwab ($1.6B); Morgan Stanley ($468M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Ingalls Investment Management, LLC a hybrid RIA with a broker-dealer?
Ingalls Investment Management, LLC is a hybrid RIA: 35 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Ingalls & Snyder, LLC. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Ingalls Investment Management, LLC a fiduciary?
As an SEC-registered investment adviser, Ingalls Investment Management, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 35 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Ingalls Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →