Ingalls Investment Management, LLC
Registered investment adviser · New York, NY · CRD #2288
Form ADV data as of 2026-09-01Regulatory assets
$7.83 billion
Total accounts
4,453
Employees
50
Disclosure events
3
Firm details
- Website: https://www.ingalls.net
- Telephone: 212-269-7800
- Most recent Form ADV filing: 2026-07-06
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $7.67 billion |
| Non-discretionary regulatory assets under management | $158.8 million |
| Total regulatory assets under management | $7.83 billion |
| Discretionary accounts | 4,403 |
| Non-discretionary accounts | 50 |
| Total accounts | 4,453 |
| Regulatory assets under management attributable to non-U.S. persons | $7.83 billion |
People
| Total employees (excluding clerical) | 50 |
| Employees performing investment advisory functions (including research) | 50 |
| Employees who are registered representatives of a broker-dealer | 35 |
| Employees registered as investment adviser representatives with a state | 50 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 2 |
| Firms or persons who solicit advisory clients on the firm's behalf | 4 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $4.49 billion |
| Clients for whom the firm has custody | 2,322 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $4.49 billion |
| Clients for whom a related person has custody | 2,322 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 3,155 | $1.04 billion |
| High net worth individuals | 1,090 | $5.78 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 3 | $189.2 million |
| Pension and profit sharing plans (not the participants or government plans) | 51 | $103.3 million |
| Charitable organizations | 59 | $134.0 million |
| Other investment advisers | 1 | $264.1 million |
| Corporations or other businesses not listed above | 94 | $314.7 million |