SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Charles Pratt & Company, L.L.C.
New York, NY
CRD 104864
Firm filing updated June 1, 2026 ·
- $916.1MAssets
- 315Clients
- 1Advisory staff
- 544Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals294
- High net worth individuals14
- Pooled vehicles7
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 294 | $604.0 million |
| High net worth individuals | 14 | $66.6 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 7 | $245.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$916.1 million
- Accounts544
- Discretionary$886.7 million · 402 accounts
- Non-discretionary$29.4 million · 142 accounts
People
- Employees9
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients1 to 10
Registration details
- SEC-registered investment advisor. CRD 104864, SEC file 801-20651.
- Registered with the SEC as an investment advisor (status date on record: February 14, 1984).
Is Charles Pratt & Company, L.L.C. a fiduciary?
Short answer: Charles Pratt & Company, L.L.C. is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.