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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P••••••••• T•••• C•••••• P•••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 36155SEC 801-72427IAPD
Latest filing Sep 5, 2023
First filing on the tape Mar 6, 2012 · 22 filings
RAUM
$302M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
357
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$302M as of Mar 31, 2023
Mar 27, 2012$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 31, 2023
Mar 27, 20120 then
Employees (5.A)357 as of Mar 31, 2023
Mar 28, 2013140 then
Private funds: no history
RAUM -0.0% over the last fiscal year+17% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Sep 5, 2023; every figure names its basis
RAUM per advisor
$50.3MderivedRAUM 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
$151MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
59.5derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+20%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, educational seminars, 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
  • is a broker-dealer (6.A.1)
  • 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 testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$223M74%
  • Corporations and businesses$78.2M26%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• R•••••• S•••• · Board Membercontrol
    since 01/2021 · owns less than 5%
  • B••••• E••• P••• · President - Institutional Group / Board Membercontrol
    since 10/2020 · owns less than 5%
  • E••••• J•••• A••• · Board Membercontrol
    since 01/2011 · owns less than 5%
  • G•••• U•••• S•••• · Board Membercontrol
    since 07/2019 · owns less than 5%
  • G••••••••• D•••• G••••• · Head Of Financial Institutions Groupcontrol
    since 11/2022 · owns less than 5%
  • J••••••• C•••• S•••••• · Managing Director - Trade Deskcontrol
    since 05/2018 · owns less than 5%
  • J••••••• Z•••••• R••••• · Board Membercontrol
    since 03/2021 · owns less than 5%
  • K••••• M•••••• J••••• · Board Membercontrol
    since 03/2021 · owns less than 5%
  • S•••••••• D•••• R•••••• · Chief Operating Officercontrol
    since 03/2022 · owns less than 5%
  • S•••• C••••• · Ceo And President / Board Membercontrol
    since 10/2020 · owns less than 5%
  • G••••• R••• M• · Chief Financial Officer
    since 03/2022 · owns less than 5%
  • H•••••••• J•• M••••• · Interim General Counsel
    since 07/2023 · owns less than 5%
  • L•••• K•••••• M• · Interim Chief Compliance Officer
    since 08/2023 · owns less than 5%
Entity owners
  • P• F•••••••• C••••••••• L•• · Managing Member
    direct · owns 75% or more
  • G•••••••• T•••• C•••••• · Trustee
    indirect · owns F of M•••••• D••••• E••••••• S•••• O•••••••• T••••
  • M•••••• D••••• E••••••• S•••• O•••••••• T•••• · Owner
    indirect · owns 75% or more of P• F•••••••• H•••••••• I•••
  • P• F•••••••• H•••••••• I••• · Owner
    indirect · owns 75% or more of Pt Financial Companies LLC
Related persons
Schedule D 7.A
Advisers that list P••••••••• T•••• C•••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Wheaton, IL1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 27 to 26
    May 23, 2022 to Mar 31, 2023
  • BD registered reps · 235 to 334
    May 23, 2022 to Mar 31, 2023
  • Employees · 330 to 357
    May 23, 2022 to Mar 31, 2023
  • State-registered IARs · 5 to 6
    May 23, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $302M to $302M
    May 23, 2022 to Mar 31, 2023
  • RAUM · $302M to $302M
    May 23, 2022 to Mar 31, 2023
  • Advisory employees · 28 to 27
    Mar 31, 2021 to Mar 31, 2022
  • BD registered reps · 230 to 235
    Mar 31, 2021 to Mar 31, 2022
  • Charity clients · 0.0 to unset
    Mar 31, 2021 to Mar 31, 2022
  • HNW clients · 0.0 to unset
    Mar 31, 2021 to Mar 31, 2022
  • Individual clients · 0.0 to unset
    Mar 31, 2021 to Mar 31, 2022
  • Pension plan clients · 0.0 to unset
    Mar 31, 2021 to Mar 31, 2022
  • Pooled vehicle clients · 0.0 to unset
    Mar 31, 2021 to Mar 31, 2022
  • Employees · 300 to 330
    Mar 31, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $219M to $302M
    Mar 31, 2021 to Mar 31, 2022
  • RAUM · $219M to $302M
    Mar 31, 2021 to Mar 31, 2022
  • Accounts · 3 to 2
    Oct 16, 2020 to Mar 31, 2021
  • Advisory employees · 43 to 28
    Oct 16, 2020 to Mar 31, 2021
  • BD registered reps · 197 to 230
    Oct 16, 2020 to Mar 31, 2021
  • Employees · 302 to 300
    Oct 16, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $188M to $219M
    Oct 16, 2020 to Mar 31, 2021
  • RAUM · $188M to $219M
    Oct 16, 2020 to Mar 31, 2021
  • Accounts · 2 to 3
    Oct 18, 2019 to Mar 11, 2020
  • Advisory employees · 30 to 43
    Oct 18, 2019 to Mar 11, 2020
  • BD registered reps · 172 to 197
    Oct 18, 2019 to Mar 11, 2020
  • Employees · 247 to 302
    Oct 18, 2019 to Mar 11, 2020
  • State-registered IARs · 2 to 5
    Oct 18, 2019 to Mar 11, 2020
  • Non-discretionary RAUM · $178M to $188M
    Oct 18, 2019 to Mar 11, 2020
  • RAUM · $178M to $188M
    Oct 18, 2019 to Mar 11, 2020
  • Advisory employees · 16 to 30
    Mar 20, 2018 to Mar 25, 2019
  • BD registered reps · 169 to 172
    Mar 20, 2018 to Mar 25, 2019
  • Employees · 250 to 247
    Mar 20, 2018 to Mar 25, 2019
  • State-registered IARs · 3 to 2
    Mar 20, 2018 to Mar 25, 2019
  • Non-discretionary RAUM · $177M to $178M
    Mar 20, 2018 to Mar 25, 2019
  • RAUM · $177M to $178M
    Mar 20, 2018 to Mar 25, 2019
  • Related broker-dealer · false to true
    Mar 20, 2018 to Mar 25, 2019
  • Advisory employees · 12 to 16
    Mar 27, 2017 to Mar 20, 2018
  • BD registered reps · 151 to 169
    Mar 27, 2017 to Mar 20, 2018
  • Charity clients · unset to 0.0
    Mar 27, 2017 to Mar 20, 2018
  • HNW clients · unset to 0.0
    Mar 27, 2017 to Mar 20, 2018
Signals
8 dated events
  • David George Gobberdiel (Head Of Financial Institutions Group) appeared on Schedule A of P••••••••• T•••• C•••••• P•••••••• L••
    Mar 31, 2023 · Control person joined · fact
  • David Raymond Salutric (Chief Operating Officer) appeared on Schedule A of P••••••••• T•••• C•••••• P•••••••• L••
    Mar 31, 2023 · Control person joined · fact
  • Philip Mark Nussbaum (Chairperson) no longer on Schedule A of P••••••••• T•••• C•••••• P•••••••• L•• (listed 2021-03-31, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • David Roberts Howland (Managing Director) no longer on Schedule A of P••••••••• T•••• C•••••• P•••••••• L•• (listed 2021-03-31, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • Zachary Robert Johnson (Board Member) appeared on Schedule A of P••••••••• T•••• C•••••• P•••••••• L••
    Mar 31, 2022 · Control person joined · fact
  • Michael J••••• Kelly (Board Member) appeared on Schedule A of P••••••••• T•••• C•••••• P•••••••• L••
    Mar 31, 2022 · Control person joined · fact
  • Anthony James Depalo (Managing Director) no longer on Schedule A of P••••••••• T•••• C•••••• P•••••••• L•• (listed 2019-10-18, absent 2020-03-11)
    Mar 11, 2020 · Control person left · inference
  • Umrai Singh Gill (Managing Director) appeared on Schedule A of P••••••••• T•••• C•••••• P•••••••• L••
    Mar 11, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
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