{
  "crd_number": 119307,
  "slug": "pts-brokerage-llc-mt-laurel-nj-119307",
  "primary_business_name": "PTS BROKERAGE, LLC",
  "legal_name": "PROFESSIONAL TRADING SERVICES BROKERAGE, LLC",
  "dbas": [],
  "city": "Mt. Laurel",
  "state": "NJ",
  "country": "United States",
  "cbsa_code": "37980",
  "metro": {
    "cbsa_code": "37980",
    "common_name": "Philadelphia",
    "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD",
    "path": "/advisors/pa/philadelphia"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2026-09-11",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-08-13",
  "carried_forward": false,
  "raum_total": 131700000.0,
  "raum_discretionary": 128000000.0,
  "raum_non_discretionary": 3700000.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 18,
  "advisory_employees": 14,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": 122400000.0,
      "count": 495
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 7800000.0,
      "count": null,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 1500000.0,
      "count": null,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "DE",
    "FL",
    "LA",
    "MD",
    "NJ",
    "NY",
    "PA",
    "TX"
  ],
  "websites": [
    "https://facebook.com/profile.php?id=61575071810406",
    "https://ptsbrokerage.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/119307",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "MT. LAUREL",
  "url": "https://advisorcensus.com/firm/pts-brokerage-llc-mt-laurel-nj-119307",
  "display_name": "PTS Brokerage, LLC",
  "summary": "PTS Brokerage, LLC is an SEC-registered investment advisory firm in Mt. Laurel, NJ, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 13, 2026.",
  "citation": "AdvisorCensus. PTS Brokerage, LLC (CRD 119307): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is PTS Brokerage, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), PTS Brokerage, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is PTS Brokerage, LLC located?",
      "a": "PTS Brokerage, LLC's principal office is in Mt. Laurel, NJ, according to its Form ADV."
    },
    {
      "q": "Is PTS Brokerage, LLC registered with the SEC or a state?",
      "a": "PTS Brokerage, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 119307."
    },
    {
      "q": "How much does PTS Brokerage, LLC manage?",
      "a": "PTS Brokerage, LLC reports $131,700,000 in regulatory assets under management in its Form ADV filing dated August 13, 2026 (97% discretionary)."
    },
    {
      "q": "What types of clients does PTS Brokerage, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (495)."
    },
    {
      "q": "Which custodians does PTS Brokerage, LLC use?",
      "a": "PTS Brokerage, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists ADP Broker-Dealer, Inc., Ascensus Broker Dealer Services, LLC, Charles Schwab & Co., Inc. and Interactive Brokers LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does PTS Brokerage, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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/119307"
    },
    {
      "q": "What changed in PTS Brokerage, LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Moved from state registration to SEC registration. Registered or notice-filed in LA, TX."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Moved from state registration to SEC registration.",
        "Registered or notice-filed in LA, TX."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "ADP Broker-Dealer, Inc.",
      "name_as_filed": "ADP BROKER-DEALER, INC.",
      "affiliated": false
    },
    {
      "name": "Ascensus Broker Dealer Services, LLC",
      "name_as_filed": "ASCENSUS BROKER DEALER SERVICES, LLC",
      "affiliated": false
    },
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Interactive Brokers LLC",
      "name_as_filed": "INTERACTIVE BROKERS LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/pts-brokerage-llc-mt-laurel-nj-119307.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 495,
      "fewer_than_5": false,
      "raum": 122400000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": null,
      "fewer_than_5": true,
      "raum": 7800000.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 1500000.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/119307",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}