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Lisa Ruth James

Ingalls Investment Management, LLC

New York, NY

CRD 1431340

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Employer firm

Ingalls Investment Management, LLC CRD 343369

$7.83B regulatory AUM 1 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Ingalls Investment Management, Llc

1 Rockefeller Plaza 7Th Floor, New York, NY 10020 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-08-10
NY RA APPROVED 2026-08-10
  • CA RA
    APPROVED
    Since 2026-08-10
  • NY RA
    APPROVED
    Since 2026-08-10

Branch Locations

1 Rockefeller Plaza 7Th Floor, New York, NY 10020

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lisa James Design & Development Ross CA 02/2014 07/2017
Ingalls & Snyder Llc New York NY 08/2017 Present
Ingalls Investment Management, Llc New York NY 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-11-28
S63 Uniform Securities Agent State Law Examination 1986-06-12
  • S65 Uniform Investment Adviser Law Examination
    2017-11-28
  • S63 Uniform Securities Agent State Law Examination
    1986-06-12

View on SEC IAPD

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