L.J. Altfest & Co., Inc.
- Regulatory AUM
- $1.8B
- Discretionary
- $1.8B
- Clients
- 695
- Avg AUM / client
- $2.6M
- Accounts
- 3,139
- Employees
- 42
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2026
Investments (13F portfolio — 326 positions, $934,894,323)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Vanguard Malvern Fds | STRM INFPROIDX | $50,181,680 | 1,004,638 | 5.37% | 2.79% |
| 2 | Invesco Exch Traded Fd Tr Ii | NASDAQ 100 ETF | $46,313,440 | 194,905 | 4.95% | 2.58% |
| 3 | First Tr Exchange Traded Fd | NO AMER ENERGY | $41,862,846 | 958,838 | 4.48% | 2.33% |
| 4 | Ishares Tr | 0-5 YR TIPS ETF | $40,501,201 | 391,581 | 4.33% | 2.25% |
| 5 | Rbb Fd Inc | US TREASR 10 YR | $35,802,849 | 821,155 | 3.83% | 1.99% |
| 6 | Matthews Asia Fds | ASIA INNOV ACTIV | $35,362,805 | 929,592 | 3.78% | 1.97% |
| 7 | Schwab Strategic Tr | US TIPS ETF | $28,483,635 | 1,070,411 | 3.05% | 1.58% |
| 8 | Apple Inc | COM | $27,343,971 | 107,743 | 2.92% | 1.52% |
| 9 | Spdr Series Trust | STATE STREET SPD | $19,313,482 | 862,594 | 2.07% | 1.07% |
| 10 | Vaneck Etf Trust | SEMICONDUCTR ETF | $18,549,504 | 48,382 | 1.98% | 1.03% |
| 11 | Usa Rare Earth Inc | COM | $17,690,605 | 1,168,854 | 1.89% | 0.98% |
| 12 | Goldman Sachs Etf Tr | ACCES TREASURY | $17,539,939 | 175,067 | 1.88% | 0.98% |
| 13 | Fidelity Covington Trust | MSCI HLTH CARE I | $15,042,684 | 213,796 | 1.61% | 0.84% |
| 14 | Angel Oak Funds Trust | MORTGAGE BACKED | $15,005,804 | 1,732,772 | 1.61% | 0.83% |
| 15 | Pimco Etf Tr | 15+ YR US TIPS | $14,038,529 | 275,103 | 1.5% | 0.78% |
| 16 | Simplify Exchange Traded Fun | SHORT TERM TREA | $13,999,873 | 663,501 | 1.5% | 0.78% |
| 17 | Global X Fds | US INFR DEV ETF | $13,006,191 | 255,977 | 1.39% | 0.72% |
| 18 | Spdr Series Trust | STATE STREET SPD | $12,002,718 | 184,232 | 1.28% | 0.67% |
| 19 | Eli Lilly & Co | COM | $10,842,012 | 11,788 | 1.16% | 0.6% |
| 20 | Amazon Com Inc | COM | $9,993,836 | 47,985 | 1.07% | 0.56% |
| 21 | Ishares Inc | MSCI BRAZIL ETF | $9,964,022 | 259,547 | 1.07% | 0.55% |
| 22 | Nvidia Corporation | COM | $9,541,246 | 54,709 | 1.02% | 0.53% |
| 23 | Ishares Tr | MSCI USA QLT FCT | $9,478,684 | 49,417 | 1.01% | 0.53% |
| 24 | Microsoft Corp | COM | $9,269,580 | 25,041 | 0.99% | 0.52% |
| 25 | Vaneck Etf Trust | OIL SERVICES ETF | $8,547,772 | 21,147 | 0.91% | 0.48% |
Top 25 of 326 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 255 | $119M | 6.62% |
| High net worth individuals | 431 | $1.6B | 91.4% |
| Pooled investment vehicles (non-investment companies) | 4 | $19.0M | 1.06% |
| Charitable organizations | 5 | $14.1M | 0.78% |
| Corporations and other businesses | Fewer than 5 clients | $1.9M | 0.1% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Sep 2024 · $11.6M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Altfest Alternative Value Fund I, Llc | Hedge Fund | Delaware | $11.6M | 24 |
People (20)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lewis Jay Altfest | Chief Executive Officer | CFP Personal Financial Specialist CFA | Jan 1985 (42y) | ≈ 56.25% – 100% via Altfest 2012 Family Trust |
| Karen Caplan Altfest | Executive Vice President Client Relations | CFP | Jan 1986 (41y) | Less than 5% |
| Valentini, John, Nmn | Chief Operations Officer And Chief Compliance Officer | May 2010 (16y) | Less than 5% | |
| Andrew Gamer Altfest | President | CFP | Mar 2019 (7y) | 10% – 25% |
| William Michael Prendergast | Registered representative | Jun 2005 (21y) | ||
| Ekta Bhaichand Patel | Registered representative | CFP | Sep 2007 (19y) | |
| Filip Ross Wolfe | Registered representative | CFP | Oct 2007 (19y) | |
| Steven Keith Novack | Registered representative | CFP | Aug 2021 (5y) | |
| Daniel J Duca | Registered representative | CFP | Aug 2021 (5y) | |
| David Aaron Kressner | Registered representative | CFP CFA | Aug 2021 (5y) | |
| Feifei Xing | Registered representative | CFP | Aug 2021 (5y) | |
| Andrew John Laskaris | Registered representative | CFP CFA | Aug 2021 (5y) | |
| Eric Scott Nelson | Registered representative | CFP | Apr 2022 (4y) | |
| Christian Joseph Di Russo | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Courtney Belle Mckenna | Registered representative | CFP | Jan 2025 (2y) | |
| Juan Alberto Gonzalez | Registered representative | Jan 2025 (2y) | ||
| Eric Joseph Walter | Registered representative | Sep 2025 (1y) | ||
| Tara Shayna Korkus | Registered representative | CFP | Sep 2025 (1y) | |
| Ting Wang | Registered representative | CFP | Sep 2025 (1y) | |
| Palak Solanki Forbes | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Altfest 2012 Family Trust | Owner | Dec 2012 | A | 75% or more |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Lewis Jay Altfest: 75% – 100% of Altfest 2012 Family Trust × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $11.6M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Altfest Alternative Value Fund I, Llc | Hedge Fund | $11.6M | $250K | 24 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/04/2026 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $1.5B (81% of AUM) Mar 2026
- Fidelity Brokerage Services $251M (14% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 04, 2026.
View current Form ADV (SEC/IAPD) ↗