SEC-registered wealth management firm Broker-dealer affiliated
PTS Brokerage, LLC
As of its Form ADV filed August 13, 2026, PTS Brokerage, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Mount Laurel, New Jersey, reported $131.7 million in regulatory assets under management across 700 accounts, ranking #210 among all wealth firms in New Jersey by assets.
Registration
- Main office
- Mount Laurel, NJ
- Registration
- SEC-registered, Approved
- CRD number
- 119307
- SEC file number
- 801-136814
- Registered since
- September 11, 2026
- Latest Form ADV filing
- August 13, 2026
- Legal name
- PROFESSIONAL TRADING SERVICES BROKERAGE, LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 6
Key figures
- Regulatory assets under management
- $131.7 million
- Discretionary
- $128.0 million (97.2%)
- Non-discretionary
- $3.7 million
- Accounts
- 700 (685 discretionary)
- Clients
- 495, approximate as reported
- Employees
- 18
- Advisory staff
- 14 performing investment advisory functions
- Average account
- $188,143
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 2, 2026 | $131.7 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 495 clients | $122.4 million | |
| High net worth individuals fewer than 5 clients | $7.8 million | |
| Corporations or other businesses fewer than 5 clients | $1.5 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Other investment adviser
- Accountant or accounting firm
Custody (Item 9)
The firm reported custody of client cash or securities, $105,000 in total.
Investment adviser representatives
- IARs registered with the firm
- 14
- Also registered through a broker-dealer
- 14
- Employees who are IARs (Form ADV 5.B(3))
- 14
Designations held by the firm's IARs: ChFC 3.
14 of the firm's 14 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 2 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New Jersey
| Firm | City | RAUM |
|---|---|---|
| Lumida Wealth Management LLC | Wayne | $132.8 million |
| Geremia Financial Services, LLC | Edison | $132.2 million |
| Teplitz Financial Group LLC | Old Bridge | $131.7 million |
| Stawnychy Financial Services, Inc. | Kinnelon | $131.2 million |
| Family Wealth Partners LLC | Medford | $130.9 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- PTS Brokerage, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.ptsbrokerage.com
- Wealth management firms in New Jersey
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.