# PTS Brokerage, LLC

> 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.

- CRD: 119307
- Filed as: PTS BROKERAGE, LLC
- Legal name: Professional Trading Services Brokerage, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Mt. Laurel, NJ
- Filing period: October 2026
- Form ADV filing dated: August 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/119307
- AdvisorCensus page: https://advisorcensus.com/firm/pts-brokerage-llc-mt-laurel-nj-119307

## Quick answers

**How is PTS Brokerage, LLC compensated?**
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.

**Where is PTS Brokerage, LLC located?**
PTS Brokerage, LLC's principal office is in Mt. Laurel, NJ, according to its Form ADV.

**Is PTS Brokerage, LLC registered with the SEC or a state?**
PTS Brokerage, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 119307.

**How much does PTS Brokerage, LLC manage?**
PTS Brokerage, LLC reports $131,700,000 in regulatory assets under management in its Form ADV filing dated August 13, 2026 (97% discretionary).

**What types of clients does PTS Brokerage, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (495).

**Which custodians does PTS Brokerage, LLC use?**
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.

**Does PTS Brokerage, LLC report any disciplinary disclosures?**
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

**What changed in PTS Brokerage, LLC's recent Form ADV filings?**
In the October 2026 filing data: Moved from state registration to SEC registration. Registered or notice-filed in LA, TX.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions

### Custodians (Schedule D, Section 5.K(3))
- ADP Broker-Dealer, Inc.
- Ascensus Broker Dealer Services, LLC
- Charles Schwab & Co., Inc.
- Interactive Brokers LLC

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: $131,700,000
- Discretionary: $128,000,000
- Non-discretionary: $3,700,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 495 | $122,400,000 |
| High net worth individuals | Fewer than 5 | $7,800,000 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | Fewer than 5 | $1,500,000 |
| Other | 0 | Not reported |

### 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: 2026 (0 years)
- Employees: 18 total, 14 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE, FL, LA, MD, NJ, NY, PA, TX
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?
- 11.E(4): 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?

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/119307

### Websites listed on Form ADV (Item 1.I)
- ptsbrokerage.com
- Facebook facebook.com

## Changes in the filing (last 12 months)

### October 2026
- Moved from state registration to SEC registration.
- Registered or notice-filed in LA, TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. PTS Brokerage, LLC (CRD 119307): Form ADV filing data as of October 2026.