PTMA INVESTMENT ADVISORS

RIASEC RegisteredEst. 2019
Total AUM
$30.6B
Discretionary
$28.6B
93% of AUM
Avg account
$60.2M
Accounts
508
Employees
157
Advisory reps
35

Firm details

Headquarters
NAPERVILLE, Illinois
CRD number
301973
Registered since
April 2, 2019
Website
www.pmanetwork.com
Custodians
U.S. BANK, N.A., UMB FINANCIAL SERVICES, INC.
Fee structure
Percentage of AUM
Client types
  • Pooled Investment Vehicles88.4%
  • State / Municipal Government5.92%
  • Corporations / Businesses3.91%
  • Insurance Companies1.38%
  • Other Investment Advisers0.16%
Services
Portfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Ptma Investment Advisors is an SEC-registered LLC that began registration in 2019 and operates as a fee-based adviser charging a percentage of assets under management. The firm acts as a capital allocator and serves both high-net-worth individuals and families as well as institutional clients. Its advisory services include portfolio management for individuals and small businesses, management of pooled investment vehicles, portfolio services for institutions and businesses, and the selection/oversight of third‑party advisers. Ptma is affiliated with broker‑dealer activity and is registered as a municipal advisor, and it does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: US Government Bonds 42%, Cash & Cash Equivalents 22%, Investment Grade Corp Bonds 21%, Public Funds/Mutual Funds 8%, Exchange Traded Equities 4%, State & Local Bonds 3%42%
  • US Government Bonds42%
  • Cash & Cash Equivalents22%
  • Investment Grade Corp Bonds21%
  • Public Funds/Mutual Funds8%
  • Exchange Traded Equities4%

Owners & executives

3 of 8

  • Othneil Waud

    Chief Investment OfficerCRD 2651342

  • Brandon Swensen

    Chief Investment OfficerCRD 4259620

  • JAMES DAVIS

    Chief Executive OfficerCRD 2660454

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Contacts

3 of 27

  • BRITTANY WOODRUFF

    AVP, Relationship ManagerCRD 6351148

  • Michael Stramara

    Vice President, Senior Relationship ManagerCRD 2236914

  • DEAN DIBIAS

    Senior Vice PresidentCRD 6347975

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 32

Active vs passive

$142M in ETFs

Passive

98%

$139M

Active

1%

$3.1M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD TOTAL STOCK MARKET INDEX FUND (VTI)VanguardPassiveLarge Blend$40M124,64928.15%
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Location

Primary office

NAPERVILLE, IL

DU PAGE

Location

NAPERVILLE, IL

Headquartered in NAPERVILLE, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
DU PAGE
Address
2135 City Gate Ln
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth