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CRD 36155
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BERG, RICHARD SCOTT | BOARD MEMBER | Na | yes | 01/2021 | Mar 6, 2012 | Sep 5, 2023 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | Na | yes | 10/2020 | Mar 27, 2012 | Sep 5, 2023 |
| ELDER, JASON ALAN | BOARD MEMBER | Na | yes | 01/2011 | Mar 6, 2012 | Sep 5, 2023 |
| GILL, UMRAI SINGH | BOARD MEMBER | Na | yes | 07/2019 | Mar 6, 2012 | Sep 5, 2023 |
| GOBBERDIEL, DAVID GEORGE | HEAD OF FINANCIAL INSTITUTIONS GROUP | Na | yes | 11/2022 | Mar 31, 2023 | Sep 5, 2023 |
| GREATBANC TRUST COMPANY | Trustee | F | yes | 12/2020 | Aug 30, 2023 | Sep 5, 2023 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | Na | yes | 05/2018 | Mar 6, 2012 | Sep 5, 2023 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | Na | yes | 03/2021 | Mar 27, 2012 | Sep 5, 2023 |
| KELLY, MICHAEL JOSEPH | BOARD MEMBER | Na | yes | 03/2021 | Mar 31, 2022 | Sep 5, 2023 |
| MISSION DRIVEN EMPLOYEE STOCK OWNERSHIP TRUST | Owner | E | yes | 12/2020 | Aug 16, 2023 | Sep 5, 2023 |
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | E | yes | 12/2006 | Mar 11, 2020 | Sep 5, 2023 |
| PT FINANCIAL HOLDINGS, INC. | Owner | E | yes | 12/2020 | Aug 16, 2023 | Sep 5, 2023 |
| SALUTRIC, DAVID RAYMOND | CHIEF OPERATING OFFICER | Na | yes | 03/2022 | Mar 31, 2023 | Sep 5, 2023 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | Na | yes | 10/2020 | Mar 27, 2012 | Sep 5, 2023 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | Na | no | 03/2022 | Mar 20, 2018 | Sep 5, 2023 |
| HAMILTON, JOE MARTIN | INTERIM GENERAL COUNSEL | Na | no | 07/2023 | Aug 16, 2023 | Sep 5, 2023 |
| LOVE, KRISTIN M | INTERIM CHIEF COMPLIANCE OFFICER | Na | no | 08/2023 | Aug 16, 2023 | Sep 5, 2023 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PT ASSET MANAGEMENT, LLC | n/a | Asset manager | $11B | N | yes | n/a |
| PT CAPITAL PARTNERS LIMITED | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Wheaton | IL | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2022 | Mar 31, 2023 | $302M | $0 | 357 | 26 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $302M | $0 | 330 | 27 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $219M | $0 | 300 | 28 | 1 | n/a | n/a |
| 2019 | Mar 11, 2020 | $188M | $0 | 302 | 43 | 1 | n/a | n/a |
| 2018 | Mar 25, 2019 | $178M | $0 | 247 | 30 | 1 | n/a | n/a |
| 2017 | Mar 20, 2018 | $177M | $0 | 250 | 16 | 1 | n/a | n/a |
| 2016 | Mar 27, 2017 | $200M | $0 | 225 | 12 | n/a | n/a | n/a |
| 2015 | Mar 18, 2016 | $212M | $0 | 193 | 11 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $218M | $0 | 187 | 11 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $211M | $0 | 179 | 20 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $185M | $0 | 140 | 20 | n/a | n/a | n/a |
| 2011 | Mar 27, 2012 | $176M | $0 | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $302M | $302M | -0.0% | $188M | 17.2% | 357 | 330 | 1 | 1 |