Broker-dealer firm · Mt. Laurel, NJ
PTS Brokerage, LLC
Professional Trading Services Brokerage, LLC · SEC-registered investment adviser · CRD 119307 · SEC 801-136814
At a glance
PTS Brokerage, LLC is an SEC-registered investment adviser based in Mt. Laurel, New Jersey, with $132 million in regulatory assets under management as of its Form ADV filed August 13, 2026. Its largest client group by assets is individuals, and it reports 495 individual clients. By Form ADV it is a broker-dealer firm, ranked 318th of 391 broker-dealer firms and 14,304th of 17,210 SEC-registered advisers by assets.
Main office 856-802-9400ptsbrokerage.comAs filed on Form ADV
- Regulatory AUM
- $132M
- Rank among broker-dealer firms
- #318 of 391
- Rank among all SEC RIAs
- #14,304 of 17,210
- Rank in New Jersey
- #334 of 392
- Individual clients
- 495
- High-net-worth clients
- 0
- Accounts
- 700
- Discretionary
- 97% of AUM
- Employees
- 18
- Advisory staff
- 14
- Offices
- 7
Owners and executives on its Form ADV
- Brad William SchankMember, COO
- Jeremy John SchankMember, CFO, CCO
Custody and brokerage
4 custodians
- Charles Schwab$104M97%
- Interactive Brokers$2M1%
- ADP Broker-Dealer$1M1%
- Ascensus Broker Dealer Services$0M<1%
Broker-dealer
Hybrid RIA
PTS Brokerage, LLC is a hybrid RIA: 18 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names PTS Brokerage as the broker-dealer its advisers are registered with.
Marcello is a registered representative of PTS Brokerage, LLC, a FINRA member broker/dealer .
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 495 | $122M | 93% |
| High-net-worth individuals | – | $8M | 6% |
| Corporations or other businesses | – | $2M | 1% |
Disciplinary disclosures
PTS Brokerage, LLC answers yes to 2 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
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗ptsbrokerage.com ↗
AtlasMembers
The full record on PTS Brokerage, LLC
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 from each filing
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- Growth over one, three and five years
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- Rank against 122 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does PTS Brokerage, LLC manage?
PTS Brokerage, LLC reports $132 million in regulatory assets under management across 700 accounts, 97% of it on a discretionary basis, on its Form ADV filed August 13, 2026.
What kind of firm is PTS Brokerage, LLC?
PTS Brokerage, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are PTS Brokerage, LLC’s clients?
By assets, its largest client types are individuals ($122 million, 495 clients); high-net-worth individuals ($8 million); corporations or other businesses ($2 million).
Does PTS Brokerage, LLC have any disciplinary history?
PTS Brokerage, LLC answers yes to 2 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 PTS Brokerage, LLC’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 (2026-08-13), 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 →