{"url":"https://nivawealth.com/firms/ratson-advisory-330091","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/330091","regulatoryAum":2388380041,"crd":"330091","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8303379","suffix":null,"lastName":"Kattan","firstName":"Mike","middleName":null}],"total":1,"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":"2024-07-22","regulatoryAum":405527726,"clients":1,"employees":1,"offices":2},{"filedOn":"2025-03-28","regulatoryAum":85482252,"clients":1,"employees":1,"offices":2},{"filedOn":"2026-02-05","regulatoryAum":2388380041,"clients":1,"employees":2,"offices":2}],"secFileNumber":"801-129737","legalName":"Ratson Advisory LLC","displayName":"Ratson Advisory","slug":"ratson-advisory-330091","website":"https://ratsonadvisory.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"40 Wall St, 61st Floor - Suite 18","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10005"},"tradeNames":[],"registration":{"secApproved":"22 March 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":2388380041,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":2388380041,"nonDiscretionaryAccounts":27,"wrapProgram":null,"nonUsClientsPct":50,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":null,"fewerThan5":true,"regulatoryAum":3642077},{"label":"Banking or thrift institutions","clients":null,"fewerThan5":true,"regulatoryAum":2235449407},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":149288557}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Citibank N.A","shortName":"Citibank N.A","location":"New York, NY","smaAssets":757849705},{"name":"Safra National Bank of New York","shortName":"Safra National Bank of New York","location":"New York, NY","smaAssets":867885859}],"custodyNote":"Ratson Advisory does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Alan Harari","title":"Member and Chief Compliance Officer","crd":"5363426"}],"ownership":[{"label":"Alan Harari","detail":"Member and chief compliance officer in the 75% or more ownership band and a control person, since February 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"40 Wall St, 61st Floor - Suite 18","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"917-325-7440","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","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"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":27},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":14},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":9},{"label":"Cash and cash equivalents","percent":15},{"label":"Other","percent":21,"detail":"Structured Notes and Credit-Linked Notes, Asset-Backed/Structured Credit Instruments (Including Clo/Abs-Type Exposures), Real-Estate-Related and Specialty Credit Positions (E.g., Bridge Loans/Ground Leases), and Other Bespoke Fixed-Income Or Credit Instruments That Do Not Clearly Fit Standard Equity, Bond, Fund, Cash, Or Derivative Classifications."}],"privateFunds":0},"sources":{"adv1FilingDate":"5 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/330091/PDF/330091.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ratson Advisory have?","answer":"Ratson Advisory has 1 client and manages $2.39 billion for them, as of February 2026. They include 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ratson Advisory offer?","answer":"Ratson Advisory provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Ratson Advisory use?","answer":"Ratson Advisory’s separately managed account assets are held at Safra National Bank of New York (New York, NY), with $868M and Citibank N.A (New York, NY), with $758M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ratson Advisory have?","answer":"Ratson Advisory has 0 investment adviser representatives registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Ratson Advisory invest in?","answer":"At the end of its last fiscal year, Ratson Advisory’s separately managed accounts held 27% U.S. government and agency bonds, 21% other, 15% cash and equivalents, 14% investment grade corporate bonds, 9% pooled vehicles (private funds and similar), 6% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities, 1% non-exchange-traded equities, 1% sovereign bonds, 1% high-yield corporate bonds and 1% derivatives. The 21% other category is described as: Structured Notes and Credit-Linked Notes, Asset-Backed/Structured Credit Instruments (Including Clo/Abs-Type Exposures), Real-Estate-Related and Specialty Credit Positions (E.g., Bridge Loans/Ground Leases), and Other Bespoke Fixed-Income Or Credit Instruments That Do Not Clearly Fit Standard Equity, Bond, Fund, Cash, Or Derivative Classifications.","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 Ratson Advisory?","answer":"Ratson Advisory’s direct owner is Alan Harari (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ratson Advisory get paid?","answer":"Ratson Advisory is paid through a percentage of assets under management 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 Ratson Advisory?","answer":"Ratson Advisory’s main office is at 40 Wall St, 61st Floor - Suite 18, New York, NY 10005. Its phone number is 917-325-7440. Its website is ratsonadvisory.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 February 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."}