Fee-only adviser · New York, NY
Charles Pratt & Company, L.L.C.
Charles Pratt & Company, L.L.C. is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in New York, New York. On its latest Form ADV, filed June 1, 2026, it reports $916M in regulatory assets under management, 308 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 104864 · SEC file 801-20651 |
| Office | 1270 Avenue of the Americas Suite 940 New York, NY 10020 |
| Phone | (212) 867-4444 |
| Website | www.charlespratt.com |
| Regulatory assets under management | $916M ($887M discretionary) |
| Individual clients | 294 non-high-net-worth, 14 high-net-worth |
| Financial planning clients | 1-10 |
| How it charges | Percentage of assets |
| Services | Financial planning, Portfolio management, Selection of other advisers |
| Employees | 9 |
| Disciplinary disclosures | Yes, see SEC record |
| Latest Form ADV filing | June 1, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It provides financial planning services, not only portfolio management.
- It reports disciplinary history on Form ADV. Read the disclosure details on its SEC record before you engage it.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
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Nearby
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- Hoboken 1 firm
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- Jersey City 8 firms
- East Elmhurst 1 firm
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- Jackson Heights 1 firm
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