Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Ptma Investment Advisors
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
PINNACLE PURCHASER, LLCDirect owner · Schedule AInterest in PTMA INVESTMENT ADVISORS
75%+
FLEXPOINT FUND V-A, L.P.Indirect owner · Schedule BInterest in PINNACLE FF AGGREGATOR, LLC
75%+
PINNACLE INTERMEDIATECO, LLCIndirect owner · Schedule BInterest in PINNACLE PURCHASER, LLC
75%+
PINNACLE EQUITYCO, LLCIndirect owner · Schedule BInterest in PINNACLE INTERMEDIATECO, LLC
75%+
PMA PARENT HOLDINGS, LLCIndirect owner · Schedule BInterest in PTMA FINANCIAL SOLUTIONS, LLC
75%+
TA PMA INTERMEDIATE, LLCIndirect owner · Schedule BInterest in PMA PARENT HOLDINGS, LLC
75%+
TA PMA PURCHASER, LLCIndirect owner · Schedule BInterest in TA PMA INTERMEDIATE, LLC
75%+
PMA-PTA HOLDINGS, LLCIndirect owner · Schedule BInterest in TA PMA PURCHASER, LLC
75%+
TA ASSOCIATES PMA HOLDINGS, LLCIndirect owner · Schedule BInterest in PMA-PTA HOLDINGS, LLC
75%+
TA XIV-B PMA BLOCKER CORPIndirect owner · Schedule BInterest in TA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P.
75%+
TA XIV-B, L.P.Indirect owner · Schedule BInterest in TA XIV-B PMA BLOCKER CORP
75%+
DONALD JOSEPH EDWARDSIndirect owner · Schedule BInterest in FLEXPOINT ULTIMATE MANAGEMENT V, LLC
75%+
PTMA FINANCIAL SOLUTIONS, LLCIndirect owner · Schedule BInterest in PINNACLE EQUITYCO, LLC
75%+
TA XIV-A, L.P.Indirect owner · Schedule BInterest in TA ASSOCIATES PMA HOLDINGS, LLC
50% to < 75%
TA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P.Indirect owner · Schedule BInterest in TA ASSOCIATES PMA HOLDINGS, LLC
25% to < 50%
PINNACLE FF AGGREGATOR, LLCIndirect owner · Schedule BInterest in PMA-PTA HOLDINGS, LLC
25% to < 50%
DONALD J EDWARDS REVOCABLE TRUSTIndirect owner · Schedule BInterest in FLEXPOINT MANAGEMENT V, L.P.
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Ptma Investment Advisors.
Reported ownership and control details
Form ADV · Filing date 2026-04-30 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | TODD WILLIAM ALTONCHIEF EXECUTIVE OFFICERIndividual | PTMA INVESTMENT ADVISORS | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER01/2021 | Schedule APDF page 36 |
| 2 | Othneil Stockwell WaudCHIEF INVESTMENT OFFICER LGIPSIndividual | PTMA INVESTMENT ADVISORS | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER LGIPS02/2018 | Schedule APDF page 36 |
| 3 | PINNACLE PURCHASER, LLCMEMBERDomestic entity | PTMA INVESTMENT ADVISORS | 75% or moreCode E | Yes | MEMBER10/2024 | Schedule APDF page 36 |
| 4 | Ian Karsten VoermannCHIEF FINANCIAL OFFICERIndividual | PTMA INVESTMENT ADVISORS | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER01/2025 | Schedule APDF page 36 |
| 5 | Brandon Timothy SwensenCHIEF INVESTMENT OFFICERIndividual | PTMA INVESTMENT ADVISORS | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER06/2025 | Schedule APDF page 36 |
| 6 | Shannon Margaret SeiferthINTERIM CHIEF COMPLIANCE OFFICER/REGULATORY ATTORNEYIndividual | PTMA INVESTMENT ADVISORS | Less than 5%Code NA | Yes | INTERIM CHIEF COMPLIANCE OFFICER/REGULATORY ATTORNEY12/2025 | Schedule APDF page 36 |
| 7 | Ron SharonCHIEF INFORMATION SECURITY OFFICERIndividual | PTMA INVESTMENT ADVISORS | Less than 5%Code NA | Yes | CHIEF INFORMATION SECURITY OFFICER06/2025 | Schedule APDF page 36 |
| 8 | FLEXPOINT FUND V-A, L.P.SOLE MEMBERForeign entity | PINNACLE FF AGGREGATOR, LLC | 75% or moreCode E | Yes | SOLE MEMBER05/2024 | Schedule BPDF page 36 |
| 9 | PINNACLE INTERMEDIATECO, LLCSOLE MEMBERDomestic entity | PINNACLE PURCHASER, LLC | 75% or moreCode E | Yes | SOLE MEMBER10/2024 | Schedule BPDF page 36 |
| 10 | PINNACLE EQUITYCO, LLCSOLE MEMBERDomestic entity | PINNACLE INTERMEDIATECO, LLC | 75% or moreCode E | Yes | SOLE MEMBER10/2024 | Schedule BPDF page 36 |
| 11 | PMA PARENT HOLDINGS, LLCSOLE MEMBERDomestic entity | PTMA FINANCIAL SOLUTIONS, LLC | 75% or moreCode E | Yes | SOLE MEMBER10/2024 | Schedule BPDF page 36 |
| 12 | TA PMA INTERMEDIATE, LLCSOLE MEMBERDomestic entity | PMA PARENT HOLDINGS, LLC | 75% or moreCode E | Yes | SOLE MEMBER02/2024 | Schedule BPDF page 36 |
| 13 | TA PMA PURCHASER, LLCSOLE MEMBERDomestic entity | TA PMA INTERMEDIATE, LLC | 75% or moreCode E | Yes | SOLE MEMBER10/2023 | Schedule BPDF page 37 |
| 14 | PMA-PTA HOLDINGS, LLCSOLE MEMBERDomestic entity | TA PMA PURCHASER, LLC | 75% or moreCode E | Yes | SOLE MEMBER10/2023 | Schedule BPDF page 37 |
| 15 | TA ASSOCIATES PMA HOLDINGS, LLCMEMBERDomestic entity | PMA-PTA HOLDINGS, LLC | 75% or moreCode E | Yes | MEMBER10/2023 | Schedule BPDF page 37 |
| 16 | TA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P.MEMBERDomestic entity | TA ASSOCIATES PMA HOLDINGS, LLC | 25% to less than 50%Code C | Yes | MEMBER10/2023 | Schedule BPDF page 37 |
| 17 | TA XIV-B PMA BLOCKER CORPLIMITED PARTNERDomestic entity | TA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P. | 75% or moreCode E | Yes | LIMITED PARTNER10/2023 | Schedule BPDF page 37 |
| 18 | TA ASSOCIATE XIV GP, L.P.GENERAL PARTNERForeign entity | TA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER10/2023 | Schedule BPDF page 37 |
| 19 | TA XIV-B, L.P.SHAREHOLDERForeign entity | TA XIV-B PMA BLOCKER CORP | 75% or moreCode E | Yes | SHAREHOLDER10/2023 | Schedule BPDF page 37 |
| 20 | TA XIV-A, L.P.MEMBERForeign entity | TA ASSOCIATES PMA HOLDINGS, LLC | 50% to less than 75%Code D | Yes | MEMBER10/2023 | Schedule BPDF page 37 |
| 21 | TA ASSOCIATES XIV GP, L.P.GENERAL PARTNERForeign entity | TA XIV-B, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER02/2021 | Schedule BPDF page 37 |
| 22 | TA ASSOCIATES XIV GP, L.P.GENERAL PARTNERForeign entity | TA XIV-A, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER02/2021 | Schedule BPDF page 37 |
| 23 | TA ASSOCAITES CAYMAN, LLCGENERAL PARTNERForeign entity | TA ASSOCIATES XIV GP, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER02/2021 | Schedule BPDF page 37 |
| 24 | PINNACLE FF AGGREGATOR, LLCMEMBERDomestic entity | PMA-PTA HOLDINGS, LLC | 25% to less than 50%Code C | Yes | MEMBER10/2024 | Schedule BPDF page 37 |
| 25 | FLEXPOINT MANAGEMENT V, L.P.GENERAL PARTNERForeign entity | FLEXPOINT FUND V-A, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER03/2022 | Schedule BPDF page 37 |
| 26 | DONALD J EDWARDS REVOCABLE TRUSTLIMITED PARTNERDomestic entity | FLEXPOINT MANAGEMENT V, L.P. | 25% to less than 50%Code C | Yes | LIMITED PARTNER02/2024 | Schedule BPDF page 37 |
| 27 | DONALD JOSEPH EDWARDSTRUSTEEIndividual | DONALD J EDWARDS REVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/2000 | Schedule BPDF page 37 |
| 28 | FLEXPOINT ULTIMATE MANAGEMENT V, LLCGENERAL PARTNERForeign entity | FLEXPOINT MANAGEMENT V, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER03/2022 | Schedule BPDF page 37 |
| 29 | DONALD JOSEPH EDWARDSSOLE MEMBERIndividual | FLEXPOINT ULTIMATE MANAGEMENT V, LLC | 75% or moreCode E | Yes | SOLE MEMBER03/2022 | Schedule BPDF page 37 |
| 30 | PTMA FINANCIAL SOLUTIONS, LLCSOLE MEMBERDomestic entity | PINNACLE EQUITYCO, LLC | 75% or moreCode E | Yes | SOLE MEMBER08/2025 | Schedule BPDF page 37 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 4/30/2026 12:17:39 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.