Jason A Prattes Financial Inc
- Regulatory AUM
- $244M
- Discretionary
- $183M
- Clients
- 105
- Avg AUM / client
- $2.3M
- Accounts
- 105
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 49 | $14.6M | 5.99% |
| High net worth individuals | 42 | $144M | 59.0% |
| Pooled investment vehicles (non-investment companies) | 5 | $25.0M | 10.3% |
| Pension and profit sharing plans | 9 | $60.1M | 24.7% |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $7.6M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Opportunistic Private Allocation Fund, Llc Series B | Hedge Fund | Delaware | $3.1M | 7 |
| Opportunistic Private Allocation Fund, Llc Series A | Hedge Fund | Delaware | $2.5M | 4 |
| Sonics56 Llc | Other Private Fund | Delaware | $2.1M | 9 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jason Andrew Prattes | Chief Executive Officer | Aug 2018 (8y) | 75% or more | |
| Yu, Larry | Vice President & Chief Compliance Officer | Dec 2019 (7y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (3, $7.6M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Opportunistic Private Allocation Fund, Llc Series B | Hedge Fund | $3.1M | $500K | 7 |
| Opportunistic Private Allocation Fund, Llc Series A | Hedge Fund | $2.5M | $500K | 4 |
| Sonics56 Llc | Other Private Fund | $2.1M | $100K | 9 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/06/2026 | 2.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $83.9M (34% of AUM) Apr 2026
- Adp Broker Dealer, Inc. $48.5M (38% of AUM) Apr 2023
- Interactive Brokers $30.7M (13% of AUM) Apr 2026
- John Hancock Distributors Llc $20.4M (16% of AUM) Apr 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 06, 2026.
View current Form ADV (SEC/IAPD) ↗