# Charles Pratt & Company, L.L.C.

> Charles Pratt & Company, L.L.C. is an SEC-registered investment advisory firm in New York, NY, registered since 1984, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated June 1, 2026.

- CRD: 104864
- Filed as: CHARLES PRATT & COMPANY, L.L.C.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: June 1, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/104864
- AdvisorCensus page: https://advisorcensus.com/firm/charles-pratt-and-company-l-l-c-new-york-ny-104864

## Quick answers

**How is Charles Pratt & Company, L.L.C. compensated?**
On its Form ADV (Item 5.E, October 2026), Charles Pratt & Company, L.L.C. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Charles Pratt & Company, L.L.C. located?**
Charles Pratt & Company, L.L.C.'s principal office is in New York, NY, according to its Form ADV.

**Is Charles Pratt & Company, L.L.C. registered with the SEC or a state?**
Charles Pratt & Company, L.L.C. is an SEC-registered investment advisory firm, registered since 1984. Status as filed: Approved. CRD 104864.

**How much does Charles Pratt & Company, L.L.C. manage?**
Charles Pratt & Company, L.L.C. reports $916,092,202 in regulatory assets under management in its Form ADV filing dated June 1, 2026 (97% discretionary).

**How have Charles Pratt & Company, L.L.C.'s assets and staff changed since 2021?**
In the Form ADV data for Charles Pratt & Company, L.L.C.: Regulatory assets under management: $805,009,359 in the October 2021 data and $916,092,202 in the October 2026 data, up 14%. Total employees: 10 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Charles Pratt & Company, L.L.C. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (294); high net worth individuals (14); pooled investment vehicles (other than investment companies and business development companies) (7).

**Which custodians does Charles Pratt & Company, L.L.C. use?**
Charles Pratt & Company, L.L.C.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists FNZ Trust Company, National Financial Services LLC and One Congress Street as custodians holding 10% or more of its separately managed account assets.

**Does Charles Pratt & Company, L.L.C. report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/104864

**What changed in Charles Pratt & Company, L.L.C.'s recent Form ADV filings?**
In the April 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- FNZ Trust Company
- National Financial Services LLC
- One Congress Street

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $916,092,202
- Discretionary: $886,721,925
- Non-discretionary: $29,370,277

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 294 | $604,045,240 |
| High net worth individuals | 14 | $66,579,145 |
| Pooled investment vehicles (other than investment companies and business development companies) | 7 | $245,467,817 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1984 (42 years)
- Employees: 9 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, MA, MD, NH, NY, VT, WA
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/104864

### Websites listed on Form ADV (Item 1.I)
- [charlespratt.com](https://charlespratt.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $805,009,359 | 10 | September 14, 2021 |
| October 2022 | $894,922,517 | 9 | September 16, 2022 |
| October 2023 | $687,500,543 | 9 | April 30, 2023 |
| October 2024 | $777,774,075 | 9 | August 8, 2024 |
| October 2025 | $876,804,049 | 9 | May 1, 2025 |
| October 2026 | $916,092,202 | 9 | June 1, 2026 |

Regulatory assets under management: $805,009,359 in the October 2021 data and $916,092,202 in the October 2026 data, up 14%.
Total employees: 10 in October 2021 and 9 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Charles Pratt & Company, L.L.C. (CRD 104864): Form ADV filing data as of October 2026.