Fee-only adviser · Great Neck, NY
Pledge Capital LLC
Pledge Capital LLC is a fee-only investment adviser registered with the securities regulator of New York, with a mailing address in Great Neck, New York (its office is a private residence, so the street address is not published). On its latest Form ADV, filed July 15, 2025, it reports $11M in regulatory assets under management, 45 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 | State-registered: New York |
|---|---|
| Firm CRD number | 284528 |
| Office | Great Neck, NY (mailing address; office not published) |
| Phone | (516) 578-1154 |
| Website | www.pledge.capital |
| Regulatory assets under management | $11M ($10M discretionary) |
| Individual clients | 3 non-high-net-worth, 42 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | July 15, 2025 |
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 high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It reports no disciplinary history on Form ADV.
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.
Other fee-only advisers in Great Neck
- Palumbo Wealth Management LLC $543M
- Rga Investment Advisors, LLC $101M
- C & C Financial Services, Inc. $66M
See all 4 fee-only advisers in Great Neck →
Nearby
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- Lake Success 1 firm
- Port Washington 4 firms
- Flushing 1 firm
- Mineola 1 firm
- Garden City 11 firms
- Greenvale 1 firm
- Forest Hills 1 firm
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