63
Pts Brokerage, LLC registers with the SEC (Mt. Laurel, NJ)
New SEC-registered adviser · CRD 119307 · 801-136814 · effective 2026-09-11
Effective 2026-09-11. 18 employees (14 advisory), $132M regulatory AUM across 700 accounts. Notice-filed in DE, LA, MD, NJ, NY, PA +2. Limited Liability Company (NJ).
10+ employeesHas custodyDisciplinary disclosureNotice-filed in 5+ states
Contact (from the filing)
The main-office phone, website and address from Form ADV are shown to subscribers. See plans, or open the firm on IAPD.
Who this is for
- Compliance consulting
- RIA software (CRM, portfolio, billing)
- Custodian / clearing
- Archiving & surveillance
- Cybersecurity / managed IT
- E&O insurance