WD

William Ambrose Dipenice

43 Years of Experience

Firm Information

Compensation
Commission-BasedFee-Only (AUM)
Number of Advisors
16 advisors
Number of Clients
183 clients
Average Client Portfolio
$836K average
Assets Under Management
$153.0M

Fee Structure

Minimum Investment:$25K
Minimum Annual Fee:$100
Financial Plan Fee:$1,500 - $25,000
Hourly Rate:$200/hr

RFL Advisor Program fees are calculated as an annualized percentage of assets under management on a sliding scale and are negotiable. There are three options available: a percentage of AUM, an hourly rate (minimum $200/hour invoiced quarterly), or a fixed fee (invoiced quarterly, semi-annually, or annually). Financial planning fees, if requested, range from $1,500 to $25,000 depending on complexity. The minimum advisory account size is $25,000.

Areas of Practice
Investment ManagementRetirement PlanningEstate Planning
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Advisor Information

Office location

Irvington, NY

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Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2008
Settled
Customer Dispute
March 2003
Denied
Employment History
Current Registrations
R. F. Lafferty & Co., INC.
August 2016 - Present · 9 yrs 5 mos
R. F. Lafferty & Co., INC.
August 2016 - Present · 9 yrs 5 mos
R. F. Lafferty & Co., INC. Broker
August 2016 - Present · 9 yrs 5 mos
Previous Registrations
Wells Fargo Advisors, LLC Broker
June 2012 - July 2016 · 4 yrs 1 mo
Wells Fargo Advisors, LLC
June 2012 - July 2016 · 4 yrs 1 mo
Chase Investment Services CORP.
October 2007 - June 2012 · 4 yrs 8 mos
Chase Investment Services CORP.Broker
June 2006 - June 2012 · 6 yrs
Metlife Securities INC.Broker
December 2004 - June 2006 · 1 yr 6 mos
Metropolitan Life Insurance CompanyBroker
December 2004 - June 2006 · 1 yr 6 mos
Terra Securities CorporationBroker
January 2004 - November 2004 · 10 mos
Capital Brokerage CorporationBroker
June 2003 - January 2004 · 7 mos
Quick & Reilly, INC.Broker
December 2002 - June 2003 · 6 mos
Hsbc Brokerage (usa) INC.Broker
March 1995 - December 2002 · 7 yrs 9 mos
John Hancock Distributors, INC.Broker
September 1993 - March 1995 · 1 yr 6 mos
John Hancock Mutual Life Insurance CompanyBroker
September 1993 - March 1995 · 1 yr 6 mos
Cigna Securities, INC.Broker
February 1993 - September 1993 · 7 mos
John Hancock Distributors, INC.Broker
April 1982 - March 1993 · 10 yrs 11 mos
John Hancock Mutual Life Insurance CompanyBroker
April 1982 - March 1993 · 10 yrs 11 mos
State Registrations2 states
FLNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.