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Charles Pratt & Company, L.L.C.

Charles Pratt & Company, L.L.C. is a fee-only, SEC-registered investment adviser in New York, New York, registered with the SEC since 1984, managing approximately $916M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #104864 · SEC #801-20651 · SEC-registered since 1984 (42 yrs) · Last filing data January 1, 2026

AUM
$916M

as of 2026

Fee model
Fee-only

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
9

1 advisers

Assets per adviser

$916Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm runs leaner (more assets per adviser).

From charlespratt.com

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Overview

AI-generated summary

Charles Pratt & Company, L.L.C. is a fee-only, SEC-registered investment adviser based in New York, New York. It reported approximately $916M in regulatory assets under management on its most recent Form ADV. The firm reports one or more disclosure events on Form ADV Item 11 — see the disclosures section below.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
104864
SEC #
801-20651
Headquarters
New York, NY
Employees
9

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-only — the firm reports being paid by clients (e.g. a percentage of assets) and not through commissions.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$916M
Assets under management by year
YearReported AUM
2026$916M

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

  • 2026 · SEC or CFTC regulatory disclosure

    Charles Pratt & Company, L.L.C. reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • Detailed, AI-summarized breakdowns of each event are being rolled out across the directory. For now, review the full Disclosure Reporting Pages on the SEC IAPD record.

Frequently asked questions

Is Charles Pratt & Company, L.L.C. a fiduciary?+

Yes. Charles Pratt & Company, L.L.C. is an SEC-registered investment adviser (CRD #104864), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Charles Pratt & Company, L.L.C. compensated?+

Charles Pratt & Company, L.L.C. reports a fee-only compensation model on its Form ADV. Fee-only advisers are paid by their clients (for example, a percentage of assets managed) and do not earn commissions. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Charles Pratt & Company, L.L.C. manage?+

Charles Pratt & Company, L.L.C. reported approximately $916M in regulatory assets under management as of its most recent Form ADV filing.

Does Charles Pratt & Company, L.L.C. have any disclosures?+

Charles Pratt & Company, L.L.C. reported one or more disclosure events on Form ADV Item 11 (sec or cftc regulatory disclosure). A disclosure is not by itself a finding of wrongdoing; review the full Disclosure Reporting Pages on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Charles Pratt & Company, L.L.C. has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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