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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

PRUDENT MAN ADVISORS, INC.

CRD 110022

NAPERVILLE, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:54d67d1f-be39-6250-59df-841d8a87c806

Data as of Mar 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2011 to Mar 18, 2019
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $6.2BItem 5.F on the latest filing (2019-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.1B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 46
Advisory employees: 39
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 49
Custody, client assets: $5.4B
SEC number: 801-61312
CRD: 110022
Filings on the tape: 16
First filed: Nov 22, 2011
Latest filed: Mar 18, 2019
Organised: Corporation, Illinois

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DAVIS, JAMES, ONEILL	CHIEF EXECUTIVE OFFICER	Na	yes	03/2012	Mar 28, 2012	Mar 18, 2019
ELIZABETH A. ENGLISH TRUST AGREEMENT DATED JULY 10, 2009	Shareholder	C	yes	12/2009	Mar 28, 2013	Mar 18, 2019
ENGLISH, ELIZABETH, ANNE	DIRECTOR AND TRUSTEE OF THE ELIZABETH A. ENGLISH TRUST AGREEMENT	C	yes	11/1998	Nov 22, 2011	Mar 18, 2019
ENGLISH, MARY, FELICE	DIRECTOR AND TRUSTEE OF THE MARY FELICE ENGLISH DECLARATION OF TRUST DATED 12/1/92	Na	yes	09/1996	Nov 22, 2011	Mar 18, 2019
ENGLISH, MICHAEL, ROBERT	DIRECTOR AND TRUSTEE OF THE MICHAEL ROBERT ENGLISH REVOCABLE TRUST DATED 2/14/2001	D	yes	09/1996	Nov 22, 2011	Mar 18, 2019
ENGLISH, ROBERT, JOHN	CHAIRMAN, DIRECTOR AND TRUSTEE OF THE ROBERT JOHN ENGLISH DECLARATION OF TRUST DATED 12/1/92	Na	yes	09/1996	Nov 22, 2011	Mar 18, 2019
MARY FELICE ENGLISH DECLARATION OF TRUST DATED 12/1/92	Shareholder	Na	yes	02/2000	Mar 28, 2013	Mar 18, 2019
MICHAEL ROBERT ENGLISH REVOCABLE TRUST DATED 2/14/2001	Shareholder	D	yes	12/2007	Mar 28, 2013	Mar 18, 2019
RAGUS, LORI, ANN	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	Na	yes	03/2011	Nov 22, 2011	Mar 18, 2019
ROBERT JOHN ENGLISH DECLARATION OF TRUST DATED 12/1/92	Shareholder	Na	yes	02/2000	Mar 28, 2013	Mar 18, 2019
MARTENS, JONATHAN, RAY	FINANCIAL AND OPERATIONS PRINCIPAL	Na	no	10/2012	Mar 18, 2019	Mar 18, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ENGLISH CONCEPTS, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
ST. LOUIS PARK	Mn	United States	6	no
Milwaukee	Wi	United States	4	yes
Albertville	Mn	United States	3	yes
DES MOINES	Ia	United States	2	yes
Orlando	FL	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 18, 2019	$6.2B	$6.1B	46	39	5	n/a	n/a
2017	Mar 29, 2018	$6.3B	$6.2B	47	26	5	n/a	n/a
2016	Mar 31, 2017	$5.2B	$5.2B	31	28	n/a	n/a	n/a
2015	Mar 30, 2016	$4.4B	$4.4B	31	28	n/a	n/a	n/a
2014	Mar 31, 2015	$2.9B	$2.9B	27	12	n/a	n/a	n/a
2013	Mar 28, 2014	$3.1B	$3.0B	22	9	n/a	n/a	n/a
2012	Mar 28, 2013	$3.3B	$3.2B	16	9	n/a	n/a	n/a
2011	Mar 28, 2012	$3.2B	$3.0B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$6.2B	$6.3B	-1.3%	$4.4B	12.0%	46	47	5	5

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PTMA INVESTMENT ADVISORS	3	May 31, 2019	Jun 6, 2019	ALBERTVILLE, MN	Team lift out	Other	42.9%
PTMA INVESTMENT ADVISORS	7	May 22, 2019	Jun 4, 2019	NAPERVILLE, IL	Firm absorbed	Other	63.6%

Relationships

Controls (10)

← ENGLISH, ROBERT, JOHNOwnerCHAIRMAN, DIRECTOR AND TRUSTEE OF THE ROBERT JOHN ENGLISH DECLARATION OF TRUST DATED 12/1/92, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← ENGLISH, MICHAEL, ROBERTOwnerDIRECTOR AND TRUSTEE OF THE MICHAEL ROBERT ENGLISH REVOCABLE TRUST DATED 2/14/2001, ownership code D, individual
Nov 22, 2011 to presentfactForm ADV
← ENGLISH, MARY, FELICEOwnerDIRECTOR AND TRUSTEE OF THE MARY FELICE ENGLISH DECLARATION OF TRUST DATED 12/1/92, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← DAVIS, JAMES, ONEILLOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← ENGLISH, ELIZABETH, ANNEOwnerDIRECTOR AND TRUSTEE OF THE ELIZABETH A. ENGLISH TRUST AGREEMENT, ownership code C, individual
Nov 22, 2011 to presentfactForm ADV
← RAGUS, LORI, ANNOwnerCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← ELIZABETH A. ENGLISH TRUST AGREEMENT DATED JULY 10, 2009OwnerSHAREHOLDER, ownership code C, domestic entity
Mar 28, 2013 to presentfactForm ADV
← MARY FELICE ENGLISH DECLARATION OF TRUST DATED 12/1/92OwnerSHAREHOLDER, ownership code NA, domestic entity
Mar 28, 2013 to presentfactForm ADV
← MICHAEL ROBERT ENGLISH REVOCABLE TRUST DATED 2/14/2001OwnerSHAREHOLDER, ownership code D, domestic entity
Mar 28, 2013 to presentfactForm ADV
← ROBERT JOHN ENGLISH DECLARATION OF TRUST DATED 12/1/92OwnerSHAREHOLDER, ownership code NA, domestic entity
Mar 28, 2013 to presentfactForm ADV

Owns (1)

← MARTENS, JONATHAN, RAYOwnerFINANCIAL AND OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 18, 2019 to presentfactForm ADV

Moved with (1)

→ PTMA INVESTMENT ADVISORSRegistered adviser3 advisors, team lift out, same day
May 31, 2019 to Jun 6, 2019factForm ADV

Registered with (12)

← PAULA JEAN COOPERAdvisorregistration: previous registration
Feb 9, 2012 to May 31, 2019factForm ADV
← KENT DONALD JOHNSONAdvisorregistration: previous registration
Jan 13, 2014 to May 31, 2019factForm ADV
← DAVID JAMES LUTTERAdvisorregistration: previous registration
Jun 27, 2011 to May 31, 2019factForm ADV
← BRIAN DAVID HEXTELLAdvisorregistration: previous registration
Mar 16, 2011 to May 31, 2019factForm ADV
← Sara Ann SchnoorAdvisorregistration: previous registration
Jul 21, 2014 to May 31, 2019factForm ADV
← STEVEN ROBERT PUMPERAdvisorregistration: previous registration
Feb 8, 2016 to May 31, 2019factForm ADV
← DEAN MITCHELL DIBIASAdvisorregistration: previous registration
Jun 18, 2014 to May 31, 2019factForm ADV
← THOMAS ANTHONY LANZARAAdvisorregistration: previous registration
Oct 3, 2014 to May 29, 2019factForm ADV
← TIMOTHY JAMES FLAHERTYAdvisorregistration: previous registration
Jan 14, 2016 to May 29, 2019factForm ADV
← Kevin KullingAdvisorregistration: previous registration
Oct 26, 2017 to May 28, 2019factForm ADV
← LORI ANN RAGUSAdvisorregistration: previous registration
Mar 16, 2011 to May 22, 2019factForm ADV
← Amy L MarkerAdvisorregistration: previous registration
Oct 2, 2014 to Sep 21, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54d67d1f-be39-6250-59df-841d8a87c806
First observed: Nov 22, 2011
Last observed: Mar 18, 2019 91 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PRUDENT MAN ADVISORS, INC.

CRD 110022

NAPERVILLE, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:54d67d1f-be39-6250-59df-841d8a87c806

Data as of Mar 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAVIS, JAMES, ONEILL

CHIEF EXECUTIVE OFFICER

yes

03/2012

Mar 28, 2012

Mar 18, 2019

ELIZABETH A. ENGLISH TRUST AGREEMENT DATED JULY 10, 2009

Shareholder

yes

12/2009

Mar 28, 2013

Mar 18, 2019

ENGLISH, ELIZABETH, ANNE

DIRECTOR AND TRUSTEE OF THE ELIZABETH A. ENGLISH TRUST AGREEMENT

yes

11/1998

Nov 22, 2011

Mar 18, 2019

ENGLISH, MARY, FELICE

DIRECTOR AND TRUSTEE OF THE MARY FELICE ENGLISH DECLARATION OF TRUST DATED 12/1/92

yes

09/1996

Nov 22, 2011

Mar 18, 2019

ENGLISH, MICHAEL, ROBERT

DIRECTOR AND TRUSTEE OF THE MICHAEL ROBERT ENGLISH REVOCABLE TRUST DATED 2/14/2001

yes

09/1996

Nov 22, 2011

Mar 18, 2019

ENGLISH, ROBERT, JOHN

CHAIRMAN, DIRECTOR AND TRUSTEE OF THE ROBERT JOHN ENGLISH DECLARATION OF TRUST DATED 12/1/92

yes

09/1996

Nov 22, 2011

Mar 18, 2019

MARY FELICE ENGLISH DECLARATION OF TRUST DATED 12/1/92

Shareholder

yes

02/2000

Mar 28, 2013

Mar 18, 2019

MICHAEL ROBERT ENGLISH REVOCABLE TRUST DATED 2/14/2001

Shareholder

yes

12/2007

Mar 28, 2013

Mar 18, 2019

RAGUS, LORI, ANN

CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL

yes

03/2011

Nov 22, 2011

Mar 18, 2019

ROBERT JOHN ENGLISH DECLARATION OF TRUST DATED 12/1/92

Shareholder

yes

02/2000

Mar 28, 2013

Mar 18, 2019

MARTENS, JONATHAN, RAY

FINANCIAL AND OPERATIONS PRINCIPAL

10/2012

Mar 18, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ENGLISH CONCEPTS, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

ST. LOUIS PARK

United States

Milwaukee

United States

yes

Albertville

United States

yes

DES MOINES

United States

yes

Orlando

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 18, 2019

$6.2B

$6.1B

n/a

2017

Mar 29, 2018

$6.3B

$6.2B

n/a

2016

Mar 31, 2017

$5.2B

n/a

2015

Mar 30, 2016

$4.4B

n/a

2014

Mar 31, 2015

$2.9B

n/a

2013

Mar 28, 2014

$3.1B

$3.0B

n/a

2012

Mar 28, 2013

$3.3B

$3.2B

n/a

2011

Mar 28, 2012

$3.2B

$3.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$6.2B

$6.3B

-1.3%

$4.4B

12.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PTMA INVESTMENT ADVISORS

May 31, 2019

Jun 6, 2019

ALBERTVILLE, MN

Team lift out

Other

42.9%

PTMA INVESTMENT ADVISORS

May 22, 2019

Jun 4, 2019

NAPERVILLE, IL

Firm absorbed

Other

63.6%