Ingalls Investment Management, LLC

Broker-DealerFINRA MemberEst. 1968

Total AUM

$7.8B

Discretionary

$7.7B

98% of AUM

Accounts

4,453

Employees

50

Advisory reps

64

Brokerage reps

35

Firm details

Headquarters: New York, New York
CRD number: 2288
Registered since: August 21, 1968
Website: www.ingalls.net
Custodians: INGALLS & SNYDER, LLC, CHARLES SCHWAB & CO., INC., MORGAN STANLEY & CO. LLC
Fee structure: Percentage of AUM, Fixed Fees, Performance Based Fees
Client types: HNWI73.87%
Individuals13.29%
Corporations / Businesses4.02%
Other Investment Advisers3.37%
Pooled Investment Vehicles2.42%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Ingalls Investment Management, LLC is an independent broker-dealer and SEC-registered advisory firm with roots dating to 1968. The firm serves both individual/family and institutional clients and positions itself as a capital allocator that combines broker-dealer activity with advisory services. Its advisory capabilities include financial planning, discretionary portfolio management for individuals, pooled vehicles and institutions, selection of outside advisers, and investor education. Compensation arrangements include percentage-of-assets, fixed fees and performance-based fees. The firm is not an active ESG investor. The firm has received several industry recognitions, including placement on Financial Times’ Top 300 RIA firms (2020), FA Magazine’s Top RIA firms (2020), a Forbes RIA listing (2024), and Barron’s Top 100 RIA firms (2025).

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities77%
Non-Exchange Traded Equities11%
Cash & Cash Equivalents6%
US Government Bonds3%
Investment Grade Corp Bonds2%

Owners & executives

3 of 4

Christian Park
General Counsel and Chief Compliance OfficerCRD 3106787
Thomas Boucher
Chief Executive OfficeCRD 730430
Frank Stolba
Chief Financial Officer & Managing DirectorCRD 3087097

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Contacts

3 of 60

Cintia Kempkes
Senior Vice PresidentCRD 5283613
Rochelle Wagenheim
Senior Vice PresidentCRD 4385880
Delphia Polle
Assistant Portfolio ManagerCRD 6170028

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 143

Active vs passive

$265M in ETFs

Passive

98%

$260M

Active

1%

$4.2M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD 500 INDEX FUND (VOO)	Vanguard	Passive	Large Blend	$20.6M	30,008	7.79%

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Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: New York
Address: 1 Rockefeller Plz
Time zone: ET (UTC-5)
Office locations

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