{"url":"https://nivawealth.com/firms/prato-capital-management-289917","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289917","regulatoryAum":224563710,"crd":"289917","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5022238","suffix":null,"lastName":"BRACAGLIA","firstName":"GABRIELLA","middleName":null},{"crd":"5140418","suffix":"JR.","lastName":"O'ROURKE","firstName":"BRIAN","middleName":"MURPHY"},{"crd":"2479601","suffix":null,"lastName":"PRATO","firstName":"GREGORY","middleName":"PAUL"}],"total":3,"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":"2021-02-05","regulatoryAum":152217450,"clients":236,"employees":3,"offices":1},{"filedOn":"2022-02-28","regulatoryAum":166731149,"clients":280,"employees":3,"offices":1},{"filedOn":"2023-01-23","regulatoryAum":162788000,"clients":298,"employees":4,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":180512178,"clients":314,"employees":3,"offices":1},{"filedOn":"2025-01-30","regulatoryAum":195749788,"clients":322,"employees":3,"offices":1},{"filedOn":"2026-03-02","regulatoryAum":224563710,"clients":326,"employees":4,"offices":1}],"secFileNumber":"801-111842","legalName":"Prato Capital Management, Inc.","displayName":"Prato Capital Management","slug":"prato-capital-management-289917","website":"https://pratocapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/prato-capital-management","xUrl":"https://www.twitter.com/pratocapital","founded":null,"organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"70 Gedney Way","city":"White Plains","state":"NY","stateName":"New York","country":"United States","postalCode":"10605"},"tradeNames":[],"registration":{"secApproved":"12 October 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":570754.4285714285,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":224563710,"discretionary":224563710,"discretionaryAccounts":706,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":224563710,"nonUsClientsPct":2,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":241,"regulatoryAum":90992777},{"label":"High-net-worth individuals","clients":32,"regulatoryAum":64823182},{"label":"Pension and profit-sharing plans","clients":25,"regulatoryAum":41281255},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":400153},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":2800515},{"label":"Other","clients":21,"regulatoryAum":24265828}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013361","versionId":1013361,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-02","documentName":"FIRM BROCHURE - ADV PART 2A","fee_rate_low":null,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning is a fixed fee of $1,500 to $10,000, or billed hourly at no more than $500 an hour with a two-hour minimum per engagement; negotiable or waived at the adviser discretion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013361","versionId":1013361,"submittedOn":"2026-03-02","documentName":"FIRM BROCHURE - ADV PART 2A"},{"role":"other","program":"Retirement Plan Consulting","summary":"Retirement plan consulting is a flat fee, which can be up to $60,000, or a percentage of plan assets not exceeding 2.00%; the total fee is negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013361","versionId":1013361,"submittedOn":"2026-03-02","documentName":"FIRM BROCHURE - ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:53:10.549152+00:00","documents":[{"name":"FIRM BROCHURE - ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013361","versionId":1013361,"submittedOn":"2026-03-02"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013360","versionId":1013360,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":224563710}],"custodyNote":"Prato Capital Management has custody of $74.7M in client assets for 120 clients.","otherCustodians":[],"leadership":[{"name":"Gregory Prato","title":"President/Shareholder","crd":"2479601"},{"name":"Gabriella Bracaglia","title":"Chief Compliance Officer","crd":"5022238"}],"ownership":[{"label":"Gregory Prato","detail":"President/shareholder in the 75% or more ownership band and a control person, since September 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"70 Gedney Way","city":"White Plains","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"914-930-6871","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":63},{"label":"Non-exchange-traded equity securities","percent":3},{"label":"U.S. government/agency bonds","percent":10},{"label":"U.S. state and local bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":17},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"2 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289917/PDF/289917.pdf","brochureDate":"2 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013361","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 Prato Capital Management have?","answer":"Prato Capital Management has 326 clients and manages $225 million for them, as of March 2026. They include 241 individual clients, 32 high-net-worth individuals, and 25 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prato Capital Management offer?","answer":"Prato Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Prato Capital Management charge?","answer":"Prato Capital Management charges up to 2.00% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.","source":"FIRM BROCHURE - ADV PART 2A, filed 2 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Prato Capital Management use?","answer":"Prato Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $225M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prato Capital Management have?","answer":"Prato Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Prato Capital Management invest in?","answer":"At the end of its last fiscal year, Prato Capital Management’s separately managed accounts held 63% exchange-traded equities, 17% registered funds (mutual funds, ETFs, BDCs), 10% U.S. government and agency bonds, 4% state and local bonds, 3% non-exchange-traded equities and 3% cash and equivalents.","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 Prato Capital Management?","answer":"Prato Capital Management’s direct owner is Gregory Prato (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prato Capital Management get paid?","answer":"Prato Capital Management 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 Prato Capital Management?","answer":"Prato Capital Management’s main office is at 70 Gedney Way, White Plains, NY 10605. Its phone number is 914-930-6871. Its website is pratocapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 March 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."}