Wealth manager, independent · New York, NY
Charles Pratt & Company, L.L.C.
SEC-registered investment adviser · CRD 104864 · SEC 801-20651
At a glance
Charles Pratt & Company, L.L.C. is an SEC-registered investment adviser based in New York, New York, with $916 million in regulatory assets under management as of its Form ADV filed June 1, 2026. Its largest client group by assets is individuals, and it reports 308 individual clients. By Form ADV it is a wealth manager, ranked 1,676th of 8,915 wealth managers and 5,638th of 17,210 SEC-registered advisers by assets.
Main office 212-867-4444charlespratt.comAs filed on Form ADV
- Regulatory AUM
- $916M
- Rank among wealth managers
- #1,676 of 8,915
- Rank among all SEC RIAs
- #5,638 of 17,210
- Rank in New York
- #1,195 of 2,591
- Individual clients
- 308
- High-net-worth clients
- 14
- Accounts
- 544
- Discretionary
- 97% of AUM
- Employees
- 9
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- David P. HuntManaging Member; Chairman
- Harold I. PrattManaging Member; Director
- Anne H. Van IngenManaging Member; Director
- Deming P. HolleranManaging Member; Director
- Mitchell C. PrattManaging Member; Director
- Mary O. PrattMember
- David O. PrattManaging Member; Director
- Cynthia LopezOfficer - Vice President
- Margaret CutterOfficer - Vice President
- Steven A. YadegariChief Compliance Officer
- Sofia LeeOfficer, Vice President - Tax
- Richard J. CosterOfficer - President and CEO
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 294 | $604M | 66% |
| Pooled investment vehicles | 7 | $245M | 27% |
| High-net-worth individuals | 14 | $67M | 7% |
Private funds
Charles Pratt & Company, L.L.C. reports 1 private funds with $22M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Charles Pratt & Company, L.L.C. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗charlespratt.com ↗
AtlasMembers
The full record on Charles Pratt & Company, L.L.C.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 3,747 peers of its type and size
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- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Charles Pratt & Company, L.L.C. manage?
Charles Pratt & Company, L.L.C. reports $916 million in regulatory assets under management across 544 accounts, 97% of it on a discretionary basis, on its Form ADV filed June 1, 2026.
What kind of firm is Charles Pratt & Company, L.L.C.?
Charles Pratt & Company, L.L.C. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Charles Pratt & Company, L.L.C.’s clients?
By assets, its largest client types are individuals ($604 million, 294 clients); pooled investment vehicles ($245 million, 7 clients); high-net-worth individuals ($67 million, 14 clients).
Does Charles Pratt & Company, L.L.C. manage private funds?
Yes. It reports 1 private funds with $22 million in gross assets, including other private funds.
Does Charles Pratt & Company, L.L.C. have any disciplinary history?
Charles Pratt & Company, L.L.C. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Charles Pratt & Company, L.L.C.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →