Pts Brokerage, LLC

Registered investment adviser · Mount Laurel, NJ · CRD #119307

Form ADV data as of 2026-10-01

Regulatory assets

$131.7 million

Total accounts

700

Employees

Disclosure events

Firm details

Website: http://www.ptsbrokerage.com
Telephone: 856-802-9400
SEC file number: 801-136814
Most recent Form ADV filing: 2026-08-13
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$128.0 million
Non-discretionary regulatory assets under management	$3.7 million
Total regulatory assets under management	$131.7 million
Discretionary accounts	685
Non-discretionary accounts	15
Total accounts	700
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	18
Employees performing investment advisory functions (including research)	14
Employees who are registered representatives of a broker-dealer	18
Employees registered as investment adviser representatives with a state	14
Employees registered as IARs for another investment adviser	1
Employees who are licensed insurance agents	13
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$105,000
Clients for whom the firm has custody	1
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Commissions

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Registered representative of a broker-dealerInsurance broker or agent

Affiliated related persons

Other investment adviser (including financial planners)Accountant or accounting firm

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	495	$122.4 million
High net worth individuals	Not reported	$7.8 million
Corporations or other businesses not listed above	Not reported	$1.5 million