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CRD 107619
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GEORGE M PLAISS | Chartered Financial Analyst | CHICAGO, IL | 15 | 17 | 1 | no |
| ANTHONY JAMES HARRIS | n/a | CHICAGO, IL | 15 | 23 | 1 | yes |
| SEAN MICHAEL-THOMAS DRANFIELD | n/a | CHICAGO, IL | 11 | 21 | 4 | yes |
| LARS K ANDERSON | Chartered Financial Analyst | CHICAGO, IL | 11 | 15 | 1 | no |
| ANDREW EUGENE NELSON | n/a | Melrose, MA | CHICAGO, IL | 7 | 34 | 1 | yes |
| Max Salk | Chartered Financial Analyst | CHICAGO, IL | 5 | 11 | n/a | no |
| MARK ELLIOTT PEILER | Chartered Financial Analyst | Saint Michael, MN | CHICAGO, IL | 4 | 31 | n/a | no |
| BROOKE ELIZABETH MORGAN | n/a | Houston, TX | CHICAGO, IL | 3 | 10 | 2 | yes |
| MARK TOMETICH | n/a | CHICAGO, IL | 2 | 11 | 1 | yes |
| JONATHAN DANIEL ROTH | n/a | CHICAGO, IL | 1 | 10 | n/a | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PTAM DYNAMIC FIXED INCOME MASTER FUND, LTD. | Hedge Fund | $313M | Aug 10, 2018 | 41 | Jan 22, 2014 | dropped | 021-210038 |
| PTAM ENHANCED STRUCTURED CREDIT FUND, LP | Hedge Fund | $113M | Mar 25, 2019 | 34 | Feb 28, 2012 | dropped | 021-140852 |
| PTAM ENHANCED STRUCTURED CREDIT FUND OFFSHORE, L.P. | Hedge Fund | $64.3M | Feb 6, 2015 | 20 | Feb 28, 2012 | dropped | 021-140853 |
| PTAM STRUCTURED CREDIT FUND, LP | Hedge Fund | $50.2M | Dec 7, 2016 | 17 | Feb 28, 2012 | dropped | 021-123396 |
| PTMR CAPITAL PARTNERS, LP | Private Equity Fund | $33.0M | Mar 22, 2017 | 38 | Feb 28, 2012 | dropped | 021-166636 |
| PTAM STRUCTURED CREDIT FUND OFFSHORE, L.P. | Hedge Fund | $21.1M | Feb 6, 2015 | 4 | Feb 28, 2012 | dropped | 021-183785 |
| PTAM DYNAMIC FIXED INCOME FUND (US), LLC | Hedge Fund | $10.6M | Feb 6, 2015 | 22 | Jan 22, 2014 | dropped | 021-210038 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BONGA, BRADLEY, DALE | BOARD MEMBER | A | yes | 05/2018 | Feb 28, 2012 | Apr 1, 2024 |
| BROWN, ERIC, PAUL | BOARD MEMBER | Na | yes | 01/2018 | Feb 28, 2012 | Apr 1, 2024 |
| DRANFIELD, SEAN, MICHAEL-THOMAS | CHIEF EXECUTIVE OFFICER | A | yes | 01/2018 | Mar 20, 2018 | Apr 1, 2024 |
| DUFFY, ANNE, MARIE | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL | Na | yes | 08/2022 | Aug 5, 2022 | Apr 1, 2024 |
| HARRIS, ANTHONY, JAMES | SENIOR PORTFOLIO MANAGER | A | yes | 01/2015 | Feb 6, 2015 | Apr 1, 2024 |
| HAYES, STEVEN, SPIRO | DIRECTOR OF FINANCE | Na | yes | 05/2012 | Mar 21, 2019 | Apr 1, 2024 |
| HOWLAND, DAVID, ROBERTS | BOARD MEMBER | Na | yes | 07/2015 | Feb 28, 2012 | Apr 1, 2024 |
| NUSSBAUM, PHILIP, MARK | BOARD MEMBER | A | yes | 11/2004 | Feb 28, 2012 | Apr 1, 2024 |
| PLAISS, GEORGE, M | SENIOR PORTFOLIO MANAGER | A | yes | 01/2015 | Feb 6, 2015 | Apr 1, 2024 |
| PTAM HOLDINGS, LLC | Member | E | yes | 09/2017 | Mar 20, 2018 | Apr 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PERFORMANCE TRUST CAPITAL PARTNERS, LLC | n/a | Former SEC adviser | $302M | 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 |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $11B | $11B | 52 | 16 | 3 | n/a | n/a |
| 2024 | Mar 31, 2025 | $9.6B | $9.6B | 52 | 16 | 2 | n/a | n/a |
| 2023 | Mar 29, 2024 | $7.0B | $7.0B | 48 | 14 | 2 | n/a | n/a |
| 2022 | Mar 31, 2023 | $5.5B | $5.5B | 44 | 14 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $7.8B | $7.8B | 34 | 10 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $5.7B | $5.7B | 28 | 9 | 0 | n/a | n/a |
| 2019 | Mar 11, 2020 | $3.7B | $3.7B | 26 | 8 | 0 | n/a | n/a |
| 2018 | Mar 21, 2019 | $2.3B | $2.3B | 23 | 7 | 0 | 1 | $113M |
| 2017 | Mar 20, 2018 | $1.9B | $1.9B | 27 | 8 | 0 | 2 | $438M |
| 2016 | Mar 22, 2017 | $1.8B | $1.8B | 27 | 10 | n/a | 3 | $592M |
| 2015 | Mar 24, 2016 | $1.5B | $1.5B | 30 | 10 | n/a | 4 | $764M |
| 2014 | Mar 16, 2015 | $1.2B | $1.2B | 27 | 11 | n/a | 4 | $512M |
| 2013 | Mar 31, 2014 | $1.1B | $1.1B | 24 | 9 | n/a | 7 | $574M |
| 2012 | Mar 28, 2013 | $986M | $986M | 27 | 11 | n/a | 5 | $462M |
| 2011 | Mar 30, 2012 | $411M | $411M | n/a | n/a | n/a | 5 | $268M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 2 | -2 | 20.0% | 0 | 0 | 0 | 1 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $11B | $9.6B | 18.3% | $5.5B | 26.9% | 52 | 52 | 3 | 2 |