CHARLES PRATT & COMPANY, L.L.C.
Adviser information for CHARLES PRATT & COMPANY, L.L.C. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 427 | $746.6M |
| Non-Discretionary | 146 | $31.2M |
| Total | 573 | $777.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 300 | $466.3M |
| HNW Individuals | 18 | $66.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $245.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-20651 |
|---|---|
| SEC ERA File Number | 801-20651 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104864 |
| Legal Entity Identifier | None |
Principal Office
767 THIRD AVENUENEW YORK
NY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 212-867-4444, Fax: 212-867-0028
Websites
Chief Compliance Officer
STEVEN AARON YADEGARI
767 THIRD AVENUE
NEW YORK
NY
United States
Tel:
212-867-4444
Fax:
212-867-0028
Y********@***************M
(Full email address available in API data)
Regulatory Contact
ELLEN LAZARUS
PRESIDENT AND CHIEF EXECUTIVE OFFICER
767 THIRD AVENUE
NEW YORK
NY
United States
Tel:
212-867-4444
Fax:
212-867-0028
L*******@***************M
(Full email address available in API data)
Industry Affiliates
| DOSORIS TRUST COMPANY | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CP INTERNATIONAL PARTNERS, LP | PARTNERSHIP -EQUITY, BOND AND MONEY MARKET INVESTMENTS | $23.8M | $0.0M | 63 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HUNT, DAVID, PRATT | Individual | – | MANAGING MEMBER; CHAIRMAN | 01/1995 | < 5% |
| PRATT, HAROLD, IRVING | Individual | – | MANAGING MEMBER; DIRECTOR | 01/1995 | 5-10% |
| VAN INGEN, ANNE, HUNTINGTON | Individual | – | MANAGING MEMBER; DIRECTOR | 01/1995 | < 5% |
| HOLLERAN, DEMING, PRATT | Individual | – | MANAGING MEMBER; DIRECTOR | 01/1995 | < 5% |
| LAZARUS, ELLEN, MARIE | Individual | – | OFFICER - PRESIDENT & CEO | 03/1999 | < 5% |
| PRATT, MITCHELL, CHARLES | Individual | – | MANAGING MEMBER; DIRECTOR | 01/1995 | < 5% |
| PRATT, MARY, OFFUTT | Individual | – | MEMBER | 07/2002 | 10-25% |
| PRATT, DAVID, OFFUTT | Individual | – | MANAGING MEMBER; DIRECTOR | 10/2003 | < 5% |
| LOPEZ, CYNTHIA | Individual | – | OFFICER - VICE PRESIDENT | 12/2016 | < 5% |
| Cutter, Margaret | Individual | – | OFFICER - VICE PRESIDENT | 04/2019 | < 5% |
| YADEGARI, STEVEN, AARON | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2021 | < 5% |
| LEE, SOFIA | Individual | – | OFFICER, VICE PRESIDENT - TAX | 05/2022 | < 5% |