Taglich Brothers, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$16,294,308
This total excludes 75 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
111
100% high-net-worth
Advisors
1
of 5 employees
Firm type
Supported
1-4 advisors or >$200M in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
111
Very HighAverage account size
$146,796
About
Taglich Brothers, Inc. is a dually registered investment adviser and broker‑dealer that offers a firm‑sponsored wrap fee investment advisory program and incidental financial planning. It serves individuals (including high‑net‑worth clients), trusts, estates, charitable organizations, and corporations or other business entities and manages assets through a non‑discretionary advisory structure.
The firm pursues a fundamental, tactical allocation approach across equities, options, mutual funds, PIPES, private placements and other instruments, and generally implements investment decisions only after obtaining client approval rather than exercising discretionary trading authority. Taglich also acts as a placement agent for private placements and PIPE transactions, maintains a research publication program, and routes trading and fee billing through a clearing relationship.
Compared with peers, Taglich’s combination of broker‑dealer activity and wrap fee program sponsorship is uncommon, as is its predominantly non‑discretionary AUM and explicit work with corporate/business clients alongside individual portfolio management. The brochure discloses multiple historical regulatory events — including a 2026 SEC settlement for Regulation Best Interest compliance — and describes affiliated private‑equity collaborations, employees serving on portfolio company boards, placement agent compensation (including warrants), and personal loans to issuers as potential conflicts; the firm does not serve as an adviser to private funds.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Private / alternative investments
Concentrated stock management
Fee options
2% of all the client's assets managed, billed quarterly in advance
Main office location
Taglich Brothers, Inc.
37 Main Street
Cold Spring Harbor NY 11724, United States
Number of offices
1
Most active in
Taglich Brothers, Inc. has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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