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CHARLES PRATT & COMPANY, L.L.C.
CRD 104864File 801-20651
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jun 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$916.1M
Above cohort median (national)
Discretionary AUM
$886.7M
Non-discretionary $29.4M
Clients
315
544 accounts
Employees
9
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Feb 14, 1984
- Principal office
- 1270 AVENUE OF THE AMERICAS, SUITE 940, NEW YORK, NY, 10020-1703
- Phone
- 212-867-4444
- Website
- HTTP://WWW.CHARLESPRATT.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $916.1M
- Discretionary AUM
- $886.7M
- Non-discretionary AUM
- $29.4M
- Discretionary accounts
- 402
- Non-discretionary accounts
- 142
- Total accounts
- 544
- AUM per client
- $2.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 14 | $66.6M |
| Pooled investment vehicles | 7 | $245.5M |
| Individuals (other than high net worth individuals) | 294 | $604.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 332 | 315 | decreased by17 |
| Apr 1, 2026 | AUM | $876,804,049 | $916,092,202 | increased by$39,288,153 |
| Apr 1, 2026 | Accounts | 567 | 544 | decreased by23 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 355 | 332 | decreased by23 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $894,922,517 | $876,804,049 | decreased by$18,118,468 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 651 | 567 | decreased by84 |
| Apr 1, 2022 | Employees | 10 | 9 | decreased by1 |
| Apr 1, 2022 | Disclosures | No | Yes | |
| Apr 1, 2022 | Clients | 331 | 355 | increased by24 |
| Apr 1, 2022 | AUM | $805,009,359 | $894,922,517 | increased by$89,913,158 |
| Apr 1, 2022 | Accounts | 660 | 651 | decreased by9 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CHARLES PRATT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CHARLES PRATT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.