# Wyser-Pratte Management Co., Inc.

> Wyser-Pratte Management Co., Inc. is an SEC-registered investment advisory firm in Bedford Hills, NY, registered since 1992, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 106399
- Filed as: WYSER-PRATTE MANAGEMENT CO., INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Bedford Hills, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/106399
- AdvisorCensus page: https://advisorcensus.com/firm/wyser-pratte-management-co-inc-bedford-hills-ny-106399

## Quick answers

**How is Wyser-Pratte Management Co., Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Wyser-Pratte Management Co., Inc. reports these compensation arrangements: a percentage of assets under its management.

**How much does Wyser-Pratte Management Co., Inc. charge?**
Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 4% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Wyser-Pratte Management Co., Inc. located?**
Wyser-Pratte Management Co., Inc.'s principal office is in Bedford Hills, NY, according to its Form ADV.

**Is Wyser-Pratte Management Co., Inc. registered with the SEC or a state?**
Wyser-Pratte Management Co., Inc. is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 106399.

**How much does Wyser-Pratte Management Co., Inc. manage?**
Wyser-Pratte Management Co., Inc. reports $58,640,604 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Wyser-Pratte Management Co., Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Wyser-Pratte Management Co., Inc.: Regulatory assets under management: $65,220,410 in the October 2021 data and $58,640,604 in the October 2026 data, down 10%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Wyser-Pratte Management Co., Inc. serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2); corporations or other businesses not listed above (1).

**Which custodians does Wyser-Pratte Management Co., Inc. use?**
Wyser-Pratte Management Co., Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Jefferies LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Wyser-Pratte Management Co., Inc. report any disciplinary disclosures?**
Reports 9 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters and 1 question about civil court matters (11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(2), 11.E(2), 11.E(3), 11.E(4), 11.H(1)(b)). 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/106399

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: 4% of assets a year

> The Investment Manager receives quarterly, in arrears, a fixed non-negotiable advisory fee at the rate of 4.00% per annum based on the net asset value of shares owned by each shareholder as of the end of each quarter.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Jefferies 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: $58,640,604
- Discretionary: $58,640,604
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Not reported | $0 |
| High net worth individuals | Not reported | $0 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $32,069,178 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | 1 | $26,571,426 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 1992 (34 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 9 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(3): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 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?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 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(3): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 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?
- 11.H(1)(b): Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?

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/106399

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $65,220,410 | 2 | June 9, 2021 |
| October 2022 | $61,367,287 | 2 | May 18, 2022 |
| October 2023 | $58,025,132 | 2 | March 31, 2023 |
| October 2024 | $52,563,974 | 2 | March 29, 2024 |
| October 2025 | $56,664,576 | 2 | June 27, 2025 |
| October 2026 | $58,640,604 | 2 | March 31, 2026 |

Regulatory assets under management: $65,220,410 in the October 2021 data and $58,640,604 in the October 2026 data, down 10%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wyser-Pratte Management Co., Inc. (CRD 106399): Form ADV filing data as of October 2026.