Pt Asset Management, Llc
- Regulatory AUM
- $11.3B
- Discretionary
- $11.3B
- Clients
- 4
- Avg AUM / client
- $2.8B
- Accounts
- 5
- Employees
- 52
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Investments (13F portfolio — 5 positions, $13,728)
13F period Sep 30, 2018| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Spdr S&P 500 Etf Tr | TR UNIT | $7,123 | 24,500 | 51.9% | 0.0% |
| 2 | Nuveen Quality Muncp Income | COM | $2,347 | 183,527 | 17.1% | 0.0% |
| 3 | Invesco Mun Opportunity Tr | COM | $1,970 | 172,200 | 14.4% | 0.0% |
| 4 | Invesco High Income Tr Ii | COM | $1,964 | 143,246 | 14.3% | 0.0% |
| 5 | Blackrock Invt Quality Mun T | COM | $324 | 24,400 | 2.36% | 0.0% |
Top 25 of 5 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 4 | $11.3B | 99.9% |
| Corporations and other businesses | 0 | $9.3M | 0.08% |
| Other | 0 | $4.3M | 0.04% |
People (16)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nussbaum, Philip, Mark | Board Member | Nov 2004 (22y) | 5% – 10% | |
| George M Plaiss | Senior Portfolio Manager | CFA | Aug 2011 (15y) | 5% – 10% |
| Anthony James Harris | Senior Portfolio Manager | Sep 2011 (15y) | 5% – 10% | |
| Hayes, Steven, Spiro | Director Of Finance | May 2012 (14y) | Less than 5% | |
| Sean Michael Thomas Dranfield | Chief Executive Officer | Jan 2015 (12y) | 5% – 10% | |
| Howland, David, Roberts | Board Member | Jul 2015 (11y) | Less than 5% | |
| Brown, Eric, Paul | Board Member | Jan 2018 (9y) | Less than 5% | |
| Bonga, Bradley, Dale | Board Member | May 2018 (8y) | 5% – 10% | |
| Duffy, Anne, Marie | Chief Compliance Officer & General Counsel | Aug 2022 (4y) | Less than 5% | |
| Lars K Anderson | Registered representative | CFA | Mar 2015 (11y) | |
| Andrew Eugene Nelson | Registered representative | Oct 2018 (8y) | ||
| Max Salk | Registered representative | CFA | May 2021 (5y) | |
| Mark Elliott Peiler | Registered representative | CFA | Feb 2022 (4y) | |
| Brooke Elizabeth Morgan | Registered representative | Apr 2023 (3y) | ||
| Mark Tometich | Registered representative | Oct 2023 (3y) | ||
| Jonathan Daniel Roth | Registered representative | Mar 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ptam Holdings, Llc | Member | Sep 2017 | A | 75% or more |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- U.S. Bank $9.3M (0% of AUM) Mar 2026
- National Advisors Trust Company $6.8M (0% of AUM) Mar 2019
- TD Ameritrade $3.0M (0% of AUM) Mar 2019
- J.P. Morgan $887K (0% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗