DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Pt Asset Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Feb 28, 2012 · 41 filings
SEC status approved since Mar 11, 1994
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
52
16 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$11B as of Mar 31, 2026
Mar 30, 2012$411M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 20, 2018$5.6M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Mar 28, 201313 then
Employees (5.A)52 as of Mar 31, 2026
Mar 28, 201327 then
Private funds1 as of Mar 21, 2019
Mar 30, 20125 then
RAUM +18% over the last fiscal year+27% a year over threeIARs 8 to 10offices 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$11B100%
- Corporations and businesses$9.3M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=30.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| George M PlaissChartered Financial Analyst | Chicago, Il | Aug 17, 2011 | 17 y | 1 |
| Anthony James Harris | Chicago, Il | Sep 16, 2011 | 23 y | 1 |
| Sean Michael-Thomas Dranfield | Chicago, Il | Jan 16, 2015 | 21 y | 4 |
| Lars K AndersonChartered Financial Analyst | Chicago, Il | Mar 5, 2015 | 15 y | 1 |
| Andrew Eugene Nelson | Melrose, Ma | Oct 15, 2018 | 34 y | 1 |
| Max SalkChartered Financial Analyst | Chicago, Il | May 5, 2021 | 11 y | 0 |
| Mark Elliott PeilerChartered Financial Analyst | Saint Michael, Mn | Feb 8, 2022 | 31 y | 0 |
| Brooke Elizabeth Morgan | Houston, Tx | Apr 5, 2023 | 10 y | 2 |
| Mark Tometich | Chicago, Il | Oct 18, 2023 | 11 y | 1 |
| Jonathan Daniel Roth | Chicago, Il | Mar 12, 2025 | 10 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount2 left over 36 months
Left, latest
- Kevin J Miller to Vest Financial LLCJan 23, 2026 · Other
- Colin Joseph Arnold to Principal Asset ManagementJan 23, 2026 · Other
- James Patrick Richter to Avantax Advisory ServicesJan 26, 2015 · Other
- Cynthia Joseph to Strategic Advisers LLCJan 24, 2014 · Other
- Christopher Nicholas Dubos to Packerland Brokerage Services, Inc.Sep 11, 2013 · Other
- Johnathan Nein Wilhelm to First Trust Advisors LPSep 6, 2013 · Other
- James Patrick Richter to Uvest Financial Services Group, Inc.Jul 24, 2003 · Other
Joined, latest
- Mark Tometich from Charles Schwab & Co., Inc.Oct 18, 2023 · Other
- Brooke Elizabeth Morgan from Kestra Advisory Services, LLCApr 5, 2023 · Other
- Colin Joseph Arnold from Performance Trust Capital Partners, LLCFeb 26, 2021 · Other
- Kevin J Miller from Edward JonesNov 13, 2018 · Other
- Andrew Eugene Nelson from Destra Capital Advisors LLCOct 15, 2018 · Other
- Sean Michael-Thomas Dranfield from World Equity Group, Inc.Jan 16, 2015 · Other
- Johnathan Nein Wilhelm from Nuveen Fund Advisors, LLCAug 17, 2011 · Other
- James Patrick Richter from A. G. Edwards & Sons, Inc.Aug 17, 2011 · Other
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ptam Dynamic Fixed Income Master Fund, Ltd.no longer reported | Hedge Fund | $313M | 41 | Jan 22, 2014 |
| Ptam Enhanced Structured Credit Fund, LPno longer reported | Hedge Fund | $113M | 34 | Feb 28, 2012 |
| Ptam Enhanced Structured Credit Fund Offshore, L.P.no longer reported | Hedge Fund | $64.3M | 20 | Feb 28, 2012 |
| Ptam Structured Credit Fund, LPno longer reported | Hedge Fund | $50.2M | 17 | Feb 28, 2012 |
| Ptmr Capital Partners, LPno longer reported | Private Equity Fund | $33.0M | 38 | Feb 28, 2012 |
| Ptam Structured Credit Fund Offshore, L.P.no longer reported | Hedge Fund | $21.1M | 4 | Feb 28, 2012 |
| Ptam Dynamic Fixed Income Fund (US), LLCno longer reported | Hedge Fund | $10.6M | 22 | Jan 22, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Dale Bradley Bonga · Board Membercontrolsince 05/2018 · owns 5% to 10%
- Paul Eric Brown · Board Membercontrolsince 01/2018 · owns less than 5%
- Michael-Thomas Sean Dranfield · Chief Executive Officercontrolsince 01/2018 · owns 5% to 10%
- Marie Anne Duffy · Chief Compliance Officer & General Counselcontrolsince 08/2022 · owns less than 5%
- James Anthony Harris · Senior Portfolio Managercontrolsince 01/2015 · owns 5% to 10%
- Spiro Steven Hayes · Director Of Financecontrolsince 05/2012 · owns less than 5%
- Roberts David Howland · Board Membercontrolsince 07/2015 · owns less than 5%
- Mark Philip Nussbaum · Board Membercontrolsince 11/2004 · owns 5% to 10%
- M George Plaiss · Senior Portfolio Managercontrolsince 01/2015 · owns 5% to 10%
Entity owners
- Ptam Holdings, LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Performance Trust Capital Partners, LLCbroker-dealerinvestment advisernRAUM $302M
- Pt Capital Partners Limitedbroker-dealern
Advisers that list Pt Asset Management, LLC as a related person
- 36155 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 10 | 0 | 1 | ||
| Nashville, Tn | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Other offices · 2 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.6B to $11BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $212,060 to $0Mar 31, 2025 to Mar 31, 2026
- RAUM · $9.6B to $11BMar 31, 2025 to Mar 31, 2026
- Accounts · 5 to 6Apr 1, 2024 to Mar 31, 2025
- Advisory employees · 14 to 16Apr 1, 2024 to Mar 31, 2025
- Employees · 48 to 52Apr 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 31, 2025
- State-registered IARs · 11 to 8Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.0B to $9.6BApr 1, 2024 to Mar 31, 2025
- HNW RAUM · $411,553 to $212,060Apr 1, 2024 to Mar 31, 2025
- RAUM · $7.0B to $9.6BApr 1, 2024 to Mar 31, 2025
- Related adviser · true to falseApr 1, 2024 to Mar 31, 2025
- BD registered reps · 28 to 30Mar 31, 2023 to Mar 29, 2024
- Employees · 44 to 48Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 8 to 11Mar 31, 2023 to Mar 29, 2024
- Other offices · 1 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.5B to $7.0BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $401,003 to $411,553Mar 31, 2023 to Mar 29, 2024
- RAUM · $5.5B to $7.0BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 10 to 14Aug 5, 2022 to Mar 31, 2023
- Advisory activities · 4 to 3Aug 5, 2022 to Mar 31, 2023
- BD registered reps · 24 to 28Aug 5, 2022 to Mar 31, 2023
- Employees · 34 to 44Aug 5, 2022 to Mar 31, 2023
- State-registered IARs · 9 to 8Aug 5, 2022 to Mar 31, 2023
- Other offices · 0 to 1Aug 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.8B to $5.5BAug 5, 2022 to Mar 31, 2023
- HNW RAUM · $885,557 to $401,003Aug 5, 2022 to Mar 31, 2023
- RAUM · $7.8B to $5.5BAug 5, 2022 to Mar 31, 2023
- Accounts · 4 to 5Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 9 to 10Mar 31, 2021 to Mar 30, 2022
- BD registered reps · 17 to 24Mar 31, 2021 to Mar 30, 2022
- Employees · 28 to 34Mar 31, 2021 to Mar 30, 2022
- State-registered IARs · 12 to 9Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $5.7B to $7.8BMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $887,091 to $885,557Mar 31, 2021 to Mar 30, 2022
- RAUM · $5.7B to $7.8BMar 31, 2021 to Mar 30, 2022
- Advisory employees · 8 to 9Mar 4, 2021 to Mar 31, 2021
Signals
12 dated events
- Kevin J Miller left Pt Asset Management, Llc for Vest Financial Llc (registered 2025-10-27)Jan 23, 2026 · Advisor changed firm · fact
- Colin Joseph Arnold left Pt Asset Management, Llc for Principal Asset Management (registered 2026-01-08)Jan 23, 2026 · Advisor changed firm · fact
- Pt Asset Management, Llc reported RAUM $9.6B, up 37% from $7.0B (2024-04-01 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Pt Asset Management, Llc reported RAUM $7.0B, up 26% from $5.5B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Pt Asset Management, Llc reported RAUM $5.5B, down 29% from $7.8B (2022-08-05 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Pt Asset Management, Llc reported RAUM $7.8B, up 38% from $5.7B (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Scott Richard Berg (Board Member) no longer on Schedule A of Pt Asset Management, Llc (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Alan Jason Elder (Board Member) no longer on Schedule A of Pt Asset Management, Llc (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Chirag Shah (Board Member) no longer on Schedule A of Pt Asset Management, Llc (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Pt Asset Management, Llc reported RAUM $5.7B, up 51% from $3.7B (2021-03-04 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Pt Asset Management, Llc reported RAUM $3.7B, up 64% from $2.3B (2019-03-25 to 2020-03-11)Mar 11, 2020 · RAUM change · derived
- James Anthony Depalo (Board Member) no longer on Schedule A of Pt Asset Management, Llc (listed 2019-03-25, absent 2020-03-11)Mar 11, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- PT Asset Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- nationalaccounts@ptam.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- investmentadvisors@ptam.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- investmentrelations@ptam.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-738-9095reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-792-9606reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-282-3220reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/ptassetmanagementllcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PTAM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-521-1000reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- ptam.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026