# RAFFERTY ASSET MANAGEMENT, LLC

RAFFERTY ASSET MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 112526
- Type: SEC-registered investment adviser
- SEC file number: 801-54679
- Location: 535 MADISON AVE, 37TH FLOOR, NEW YORK, NY, 10022
- Phone: 646-572-3390
- Latest filing: 2026-03-03
- Regulatory AUM: $55.2B
- Discretionary AUM: $55.2B
- Clients: 45
- Accounts: 133

## Business model

- Compensation: % of AUM
- Clients served: Investment cos

## Officers, owners & control persons (29)

_Showing 25 of 29 people._

| Name | Role | Location |
| --- | --- | --- |
| Warren Kenneth | CHIEF COMPLIANCE OFFICER | Greenwich, CT |
| Daniel Dillon O'Neill | MEMBER | — |
| Michael Lawrence Rafferty | OFFICER AND TRUSTEE | — |
| Patrick James Rudnick | CHIEF FINANCIAL OFFICER | — |
| Angela Mary Brickl | CHIEF OPERATING OFFICER, GENERAL COUNSEL | — |
| Kathleen Rafferty Hay | OFFICER AND TRUSTEE | — |
| Joseph Paul Cipolla | OFFICER | — |
| Steven Gregory Stelmachowski | CHIEF COMPLIANCE OFFICER | — |
| Douglas Michael Yones | CHIEF EXECUTIVE OFFICER | — |
| HAGAN TIMOTHY PETER | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| SPRAGUE STEPHEN PACKARD | VICE PRESIDENT | — |
| O'NEILL DANIEL DILLON | MANAGING DIRECTOR; MEMBER | — |
| HIGGINS JAY FRANCIS | MEMBER | — |
| RAFFERTY MICHAEL LAWRENCE | MEMBER; OFFICER AND TRUSTEE | — |
| RAFFERTY LAWRENCE COLIN | CEO, CHAIRMAN; CHAIRMAN; MEMBER (+1 more) | — |
| JACOBS GREGORY BRIAN | PRESIDENT | — |
| LOUIE KARIN | ASS. CHIEF COMPLIANCE OFF. | — |
| HARDING PHILIP ARTHUR | MANAGING DIRECTOR | — |
| FRIZE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| HEATH ANDREW MCCLARY | ASSISTANT CCO | — |
| EDWARDS MARK DANIEL | VICE PRESIDENT | — |
| RUDNICK PATRICK JAMES | CHIEF FINANCIAL OFFICER | — |
| BRICKL ANGELA MARY | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL; CHIEF OPERATING OFFICER, GENERAL COUNSEL (+2 more) | — |
| HAY KATHLEEN RAFFERTY | MEMBER; OFFICER AND TRUSTEE | — |
| FALKEIS ERIC WALTER | CHIEF OPERATING OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/112526/brochure
- Similar advisers: https://search.stillhousedata.com/firm/112526/similar
- Related entities: https://search.stillhousedata.com/firm/112526/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/112526

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.