{"url":"https://nivawealth.com/firms/platform-technology-partners-305602","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/305602","regulatoryAum":1228845049,"crd":"305602","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2651076","suffix":null,"lastName":"FILONE","firstName":"JEFFREY","middleName":null},{"crd":"6939498","suffix":null,"lastName":"Litke","firstName":"John","middleName":"James"},{"crd":"2502331","suffix":null,"lastName":"Moran","firstName":"Patrick","middleName":"Kirley"},{"crd":"7266265","suffix":null,"lastName":"Nicholas","firstName":"Stephen","middleName":"James"},{"crd":"4282318","suffix":null,"lastName":"SEGAL","firstName":"MATTHEW","middleName":"RYAN"},{"crd":"5561680","suffix":null,"lastName":"SHAPIRO","firstName":"MATTHEW","middleName":"S"},{"crd":"7492642","suffix":null,"lastName":"Simkins","firstName":"Nathaniel","middleName":"Turner"},{"crd":"6598280","suffix":null,"lastName":"Spina","firstName":"Joseph","middleName":"Drew"},{"crd":"7569759","suffix":"Jr","lastName":"Tirrito","firstName":"Robert","middleName":"J"},{"crd":"2892385","suffix":null,"lastName":"VAN ROTEN","firstName":"PATRICK","middleName":"MICHAEL"}],"total":10,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-22","regulatoryAum":561165657,"clients":363,"employees":8,"offices":2},{"filedOn":"2022-03-22","regulatoryAum":668336065,"clients":449,"employees":9,"offices":2},{"filedOn":"2023-03-24","regulatoryAum":648283133,"clients":519,"employees":12,"offices":2},{"filedOn":"2024-06-05","regulatoryAum":936699274,"clients":615,"employees":12,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":1090849298,"clients":771,"employees":11,"offices":2},{"filedOn":"2026-09-28","regulatoryAum":1228845049,"clients":887,"employees":12,"offices":2}],"secFileNumber":"801-117439","legalName":"Platform Technology Partners LLC","displayName":"Platform Technology Partners","slug":"platform-technology-partners-305602","website":"https://neprivatewealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2019","organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"63 Forest Avenue","city":"Locust Valley","state":"NY","stateName":"New York","country":"United States","postalCode":"11560"},"tradeNames":["Northeast Private Wealth Management"],"registration":{"secApproved":"7 October 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1369352.2296211252,"staff":{"employees":12,"advisory":9,"brokerDealerReps":8,"insuranceAgents":2,"promoters":3},"aum":{"regulatory":1228845049,"discretionary":1105384804,"discretionaryAccounts":2032,"nonDiscretionary":123460245,"nonDiscretionaryAccounts":225,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":535,"regulatoryAum":136595666},{"label":"High-net-worth individuals","clients":336,"regulatoryAum":1056110126},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":3470437},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":250158},{"label":"Corporations and other businesses","clients":14,"regulatoryAum":32418662}],"feePrograms":[{"role":"other","program":"Financial Consultation Services","summary":"Negotiable flat or hourly fee; hourly fees range from $100 to $300 per hour, with a retainer of one-half the project fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036497","versionId":1036497,"submittedOn":"2026-03-31","documentName":"PLATFORM TECHNOLOGY PARTNERS FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T05:28:18.156811+00:00","documents":[{"name":"PLATFORM TECHNOLOGY PARTNERS FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036497","versionId":1036497,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Pershing Advisor Solutions LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":1176418726}],"custodyNote":"Platform Technology Partners has custody of $521M in client assets for 518 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Kerney","title":"Chief Compliance Officer","crd":"5581521"}],"ownership":[{"label":"United Atlantic Capital, LLC","detail":"Owner in the 75% or more ownership band and a control person, since August 2019."},{"label":"Mark Penske","detail":"Indirect owner: a member of United Atlantic Capital, LLC in the 75% or more band and a control person, since August 2019.","parent":"United Atlantic Capital, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":2,"addresses":[{"street":"63 Forest Avenue","city":"Locust Valley","headquarters":true},{"street":"135 Crossways Park Drive","city":"Woodbury"}]}],"brochureServices":["business succession planning","estate planning","family office services","insurance","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-444-2362","stateRegisteredReps":8,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":42},{"label":"U.S. government/agency bonds","percent":5},{"label":"U.S. state and local bonds","percent":9},{"label":"Sovereign bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":19},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":8},{"label":"Cash and cash equivalents","percent":16}],"privateFunds":6},"sources":{"adv1FilingDate":"28 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/305602/PDF/305602.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036497","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Platform Technology Partners have?","answer":"Platform Technology Partners has 887 clients and manages $1.23 billion for them, as of September 2026. They include 535 individual clients, 336 high-net-worth individuals, and 14 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Platform Technology Partners offer?","answer":"Platform Technology Partners provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, business succession planning, estate planning, family office services, insurance, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Platform Technology Partners use?","answer":"Platform Technology Partners’ separately managed account assets are held at Pershing Advisor Solutions LLC (Jersey City, NJ), with $1.18B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Platform Technology Partners have?","answer":"Platform Technology Partners has 8 investment adviser representatives registered with state securities authorities, out of 12 employees, and 9 perform investment advisory functions. 8 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Platform Technology Partners invest in?","answer":"At the end of its last fiscal year, Platform Technology Partners’ separately managed accounts held 42% exchange-traded equities, 19% registered funds (mutual funds, ETFs, BDCs), 16% cash and equivalents, 9% state and local bonds, 8% pooled vehicles (private funds and similar), 5% U.S. government and agency bonds and 1% sovereign bonds. It advises 6 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Platform Technology Partners?","answer":"Platform Technology Partners is owned through a holding company by Mark Penske. Its direct owner is United Atlantic Capital, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Platform Technology Partners get paid?","answer":"Platform Technology Partners is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Platform Technology Partners?","answer":"Platform Technology Partners’ main office is at 63 Forest Avenue, Locust Valley, NY 11560. Its phone number is 212-444-2362. Its website is neprivatewealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}