Data / Investment advisers / New Jersey / PTS Brokerage, LLC
PTS Brokerage, LLC, Mt. Laurel, NJ: $132 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
PTS Brokerage, LLC is an SEC registered investment adviser with its main office in Mt. Laurel, New Jersey and reports $132 million in regulatory assets under management in its Form ADV filed October 9, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 119307
- SEC file number
- 801-136814
- SEC status
- Approved, effective September 11, 2026
- Legal name
- Professional Trading Services Brokerage, LLC
- Main office
- Eastgate Business Center 125 C Gaither Dr, Mt. Laurel, NJ 08054
- Phone
- (856) 802-9400
- Website
- ptsbrokerage.com
- Regulatory AUM
- $131,700,000 in the Form ADV filed October 9, 2026
- Discretionary AUM
- $128,000,000
- Non discretionary AUM
- $3,700,000
- Accounts
- 700
- Employees
- 18, of which 14 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, commissions
- Other offices
- 6
- Form ADV Item 11 disclosures
- Reported: self-regulatory organization actions
- Latest Form ADV filing
- October 9, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 495 | $122.4 million |
| High net worth individuals | Fewer than 5 | $7.8 million |
| Corporations or other businesses | Fewer than 5 | $1.5 million |
Other advisers in New Jersey
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Paradigm Investment Advisory, LLC | Bridgewater | $425.1 million | Not listed | adviserinfo.sec.gov |
| Sindia Capital Advisers, LLC | Somers Point | $423.4 million | Not listed | adviserinfo.sec.gov |
| Giverny Capital Advisors | Princeton | $420.9 million | Not listed | adviserinfo.sec.gov |
| Ridgewood Investments | Springfield | $419.2 million | 7 | adviserinfo.sec.gov |
| Onex Credit Advisor, LLC | Englewood Cliffs | $417.8 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New Jersey
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- PTS Brokerage, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.