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 Capital Advisors, LLC
Latest filing Mar 24, 2026
First filing on the tape Sep 19, 2013 · 22 filings
SEC status approved since Apr 11, 2016
RAUM
$56.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$43,600 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$56.9M as of Mar 24, 2026
Mar 30, 2016$125M then
HNW client RAUM$43,600 as of Mar 24, 2026
Mar 28, 2025$144,306 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20160 then
Employees (5.A)6 as of Mar 24, 2026
Mar 30, 201612 then
Private funds2 as of Mar 24, 2026
Mar 30, 20161 then
RAUM -53% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; 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
- $21,800derivedHNW RAUM over HNW clients
- Average account
- $28.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$38.3M76%
- Investment companies$12.0M24%
- High-net-worth individuals$43,6000.1%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.21 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Pt Arctic Fund I, LP | Private Equity Fund | $101M | 1 | Apr 10, 2014 |
| Pt Arctic Tourism Fund II LP | Private Equity Fund | $16.7M | 1 | Sep 26, 2023 |
| Pt Alaska Tours, LLC | Private Equity Fund | $4.6M | 2 | Mar 30, 2023 |
| Pt Alaska Fund IIno longer reported | Private Equity Fund | $0 | 0 | Mar 26, 2020 |
| Pt Buyout Fund II, LPno longer reported | Private Equity Fund | $0 | 0 | Jul 2, 2018 |
Owners and control persons
Schedule A and B, latest filing
- Michael Moore · Chief Financial Officer, Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
- Sherman Hugh Short · Chief Executive Officer, President And Directorcontrolsince 08/2013 · owns less than 5%
- Sherman Hugh Short · Chairman Of The Boardcontrolsince 03/2013 · owns 25% to 50% of Pt Holding Company, LLC
Entity owners
- Pt Capital, LLC · Sole Memberdirect · owns 75% or more
- Pt Holding Company, LLC · Sole Memberindirect · owns 75% or more of Pt Capital, LLC
Related persons
Schedule D 7.A
- Pt Arctic Fund I Gp, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Corporate clients · 1 to 6Feb 5, 2026 to Mar 24, 2026
- Employees · 7 to 6Feb 5, 2026 to Mar 24, 2026
- Discretionary RAUM · $121M to $56.9MFeb 5, 2026 to Mar 24, 2026
- HNW RAUM · $144,306 to $43,600Feb 5, 2026 to Mar 24, 2026
- RAUM · $121M to $56.9MFeb 5, 2026 to Mar 24, 2026
- Advisory employees · 2 to 5Mar 15, 2024 to Mar 28, 2025
- Corporate clients · unset to 1.0Mar 15, 2024 to Mar 28, 2025
- HNW clients · unset to 2.0Mar 15, 2024 to Mar 28, 2025
- Pooled vehicle clients · 2.0 to unsetMar 15, 2024 to Mar 28, 2025
- Employees · 8 to 7Mar 15, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $119M to $121MMar 15, 2024 to Mar 28, 2025
- HNW RAUM · unset to 144306.0Mar 15, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · 118708116.0 to unsetMar 15, 2024 to Mar 28, 2025
- RAUM · $119M to $121MMar 15, 2024 to Mar 28, 2025
- Advisory employees · 0 to 2Sep 26, 2023 to Mar 15, 2024
- Other offices · 1 to 0Sep 26, 2023 to Mar 15, 2024
- Discretionary RAUM · $102M to $119MSep 26, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $102M to $119MSep 26, 2023 to Mar 15, 2024
- RAUM · $102M to $119MSep 26, 2023 to Mar 15, 2024
- Accounts · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 4 to 0Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Private funds · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $155M to $102MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $155M to $102MMar 30, 2022 to Mar 30, 2023
- RAUM · $155M to $102MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $107M to $155MMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $107M to $155MMar 29, 2021 to Mar 30, 2022
- RAUM · $107M to $155MMar 29, 2021 to Mar 30, 2022
- Accounts · 9 to 1May 21, 2020 to Mar 29, 2021
- Pooled vehicle clients · 2 to 1May 21, 2020 to Mar 29, 2021
- Employees · 9 to 8May 21, 2020 to Mar 29, 2021
- Private funds · 3 to 1May 21, 2020 to Mar 29, 2021
- Discretionary RAUM · $74.6M to $107MMay 21, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $36.0M to $0May 21, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $111M to $107MMay 21, 2020 to Mar 29, 2021
- RAUM · $111M to $107MMay 21, 2020 to Mar 29, 2021
- Accounts · 2 to 9Mar 27, 2019 to Mar 26, 2020
- Employees · 12 to 9Mar 27, 2019 to Mar 26, 2020
Signals
1 dated events
- Pt Capital, Llc filed its initial SEC registration (Form ADV)Sep 19, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- PT Capital Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- PT Capital Advisors, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/PTCAPITALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PTCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 907-433-6600reportedpublic record, Form ADV, Mar 24, 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
- Other 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