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.

Former SEC-registered adviser

Pt Asset Management, LLC

Former SEC-registered adviserDenver, ColoradoCRD 163396SEC 801-76519IAPD
Latest filing Mar 24, 2016
First filing on the tape Apr 9, 2012 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM: $20.6M
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 24, 2016
Apr 1, 20132 then
Employees (5.A)29 as of Mar 24, 2016
Apr 1, 201315 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 24, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.7derivedItem 5.A over advisors
Advisors per office
0.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M. Christopher Debow · Managing Directorcontrol
        since 01/2014 · owns less than 5%
      • F. John Grady · Managing Directorcontrol
        since 04/2012 · owns less than 5%
      • S. Barry Howsden · Chief Compliance Officercontrol
        since 03/2012 · owns less than 5%
      • D. Thomas Jordan · Chief Executive Officercontrol
        since 06/2014 · owns less than 5%
      • S. Randy Palomba · Chief Financial Officercontrol
        since 03/2012 · owns less than 5%
      • N. Thomas Tight · Managing Directorcontrol
        since 05/2012 · owns less than 5%
      • S. Gregory Wright · Presidentcontrol
        since 06/2014 · owns less than 5%
      • M. Christopher Debow · Managing Directorcontrol
        since 01/2014 · owns F of Pt Asset Management
      • F. John Grady · Managing Directorcontrol
        since 04/2012 · owns F of Public Trust Advisors, LLC
      • D. Thomas Jordan · Chief Executive Officercontrol
        since 09/2012 · owns F of Public Trust Advisors, LLC
      • S. Randy Palomba · Chief Financial Officercontrol
        since 09/2011 · owns F of Public Trust Advisors, LLC
      • N. Thomas Tight · Managing Directorcontrol
        since 05/2012 · owns F of Public Trust Advisors, LLC
      • S. Gregory Wright · Presidentcontrol
        since 09/2011 · owns F of Public Trust Advisors, LLC
      Entity owners
      • Public Trust Advisors, LLC · Parent Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Danbury, CT
      • Madeira, OH
      • Orlando, FL
      • Richardson, TX
      What changed
      consecutive filings, newest first
      • Employees · 25 to 29
        Mar 27, 2015 to Mar 24, 2016
      • State-registered IARs · 2 to 3
        Mar 27, 2015 to Mar 24, 2016
      • Advisory employees · 3 to 8
        Mar 31, 2014 to Mar 27, 2015
      • Advisory activities · 1 to 2
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · unset to 0.0
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 15 to 25
        Mar 31, 2014 to Mar 27, 2015
      • Accounts · 1.0 to unset
        Oct 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · 0.0 to unset
        Oct 1, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · 165299129.0 to unset
        Oct 1, 2013 to Mar 31, 2014
      • RAUM · 165299129.0 to unset
        Oct 1, 2013 to Mar 31, 2014
      • Accounts · 2 to 1
        Apr 1, 2013 to Sep 18, 2013
      • Non-discretionary RAUM · $20.6M to $165M
        Apr 1, 2013 to Sep 18, 2013
      • RAUM · $20.6M to $165M
        Apr 1, 2013 to Sep 18, 2013
      • Accounts · 0 to 2
        May 16, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        May 16, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 16, 2012 to Apr 1, 2013
      • Employees · unset to 15.0
        May 16, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 2.0
        May 16, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $0 to $20.6M
        May 16, 2012 to Apr 1, 2013
      • RAUM · $0 to $20.6M
        May 16, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026