Firm profile

Ptma Investment Advisors

NAPERVILLE, ILCRD 301973Registration Status: ApprovedEffective since April 2, 2019SEC # 801-115313Latest ADV October 13, 2026

Ptma Investment Advisors's Form ADV filing dated 2026-10-13 reports $30,592,958,541 in regulatory assets under management, $28,560,083,577 discretionary and $2,032,874,964 non-discretionary, 508 accounts, and 157 employees.

Assets Under Management
$30.6B
Employees
157
Offices
14 offices
Total Clients
161

Associated firm names

3 names listed
  • PMA ASSET MANAGEMENT, LLC
  • PTMA INVESTMENT ADVISORS
  • PRUDENT MAN ADVISORS, LLC

Leadership

5 roles identified
CEOTodd W. Alton
CCOShannon M. Seiferth
CFOIan K. Voermann

Advisory services offered

4 types reported
Portfolio management for businesses
Portfolio management for individuals and small businesses
Portfolio management for pooled investment vehicles

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

NAPERVILLE, Illinois, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Illinois

NAPERVILLEPrimary office

California

PLEASANTON

Colorado

DENVER

Florida

ORLANDO

Georgia

CHAMBLEE

Iowa

WEST DES MOINES

Minnesota

ALBERTVILLE · ST. LOUIS PARK

Missouri

ST. LOUIS

Nebraska

LINCOLN

New York

HOPEWELL JUNCTION

Pennsylvania

LANCASTER

Texas

RICHARDSON

Wisconsin

MILWAUKEE

14 office records listed · 14 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$30.6Bas of October 13, 2026
Discretionary93.4%
$28.6B
93% of total RAUM93.4%
Non-discretionary6.6%
$2.0B
7% of total RAUM6.6%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentGovernment represent 67.1% of total clients.
Top client categories% of clientsClients
1
Government
67.1%
108
2
Pooled Investment Vehicles
7.5%
12
3
Insurance Cos.
7.5%
12
4
HNWI
5.0%
8
5
Charitable
5.0%
8
Categories with <5 clients
Corporations or other businesses not listed above<5 clients
Other investment advisers<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$30.6B
Total Accounts508
10Y AUM Change+$24.1B (+372.3%)

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 Employees157
Clients per Employee1:1
10Y Employee Change+113 (+256.8%)

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%
PUBLIC TRUST ADVISORS, LLCDirect owner · Schedule AInterest in PTMA INVESTMENT ADVISORS
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 XIV-B PMA BLOCKER CORP.Indirect 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%+
FLEXPOINT FUND V-A, L.P.Indirect owner · Schedule BInterest in PINNACLE FF AGGREGATOR, LLC
75%+
DONALD JOSEPH EDWARDSIndirect owner · Schedule BInterest in FLEXPOINT ULTIMATE MANAGEMENT V, LLC
75%+
PINNACLE PURCHASER, LLCIndirect owner · Schedule BInterest in PUBLIC TRUST ADVISORS, LLC
75%+
PINNACLE INTERMEDIATECO, LLCIndirect owner · Schedule BInterest in PINNACLE PURCHASER, LLC
75%+
PINNACLE EQUITYCO, LLCIndirect owner · Schedule BInterest in PINNACLE INTERMEDIATECO, 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 ASSOCIATES PMA HOLDINGS, LLCIndirect owner · Schedule BInterest in PMA-PTA HOLDINGS, LLC
25% to < 50%
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

31 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1Todd William AltonCHIEF EXECUTIVE OFFICERIndividualPTMA INVESTMENT ADVISORSLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER10/2024Schedule APDF page 34
2PUBLIC TRUST ADVISORS, LLCMANAGING MEMBERDomestic entityPTMA INVESTMENT ADVISORS75% or moreCode EYesMANAGING MEMBER01/2025Schedule APDF page 34
3Ian Karsten VoermannCHIEF FINANCIAL OFFICERIndividualPTMA INVESTMENT ADVISORSLess than 5%Code NAYesCHIEF FINANCIAL OFFICER01/2025Schedule APDF page 34
4Brandon Timothy SwensenCHIEF INVESTMENT OFFICERIndividualPTMA INVESTMENT ADVISORSLess than 5%Code NAYesCHIEF INVESTMENT OFFICER06/2025Schedule APDF page 34
5Othneil Stockwell WaudCHIEF INVESTMENT OFFICER LGIPSIndividualPTMA INVESTMENT ADVISORSLess than 5%Code NAYesCHIEF INVESTMENT OFFICER LGIPS06/2025Schedule APDF page 34
6Shannon Margaret SeiferthINTERIM CHIEF COMPLIANCE OFFICER/REGULATORY ATTORNEYIndividualPTMA INVESTMENT ADVISORSLess than 5%Code NAYesINTERIM CHIEF COMPLIANCE OFFICER/REGULATORY ATTORNEY12/2025Schedule APDF page 34
7Ron SharonCHIEF INFORMATION SECURITY OFFICERIndividualPTMA INVESTMENT ADVISORSLess than 5%Code NAYesCHIEF INFORMATION SECURITY OFFICER06/2025Schedule APDF page 34
8PMA PARENT HOLDINGS, LLCSOLE MEMBERDomestic entityPTMA FINANCIAL SOLUTIONS, LLC75% or moreCode EYesSOLE MEMBER10/2018Schedule BPDF page 35
9TA PMA INTERMEDIATE, LLCSOLE MEMBERDomestic entityPMA PARENT HOLDINGS, LLC75% or moreCode EYesSOLE MEMBER02/2024Schedule BPDF page 35
10TA PMA PURCHASER, LLCSOLE MEMBERDomestic entityTA PMA INTERMEDIATE, LLC75% or moreCode EYesSOLE MEMBER10/2023Schedule BPDF page 35
11PMA-PTA HOLDINGS, LLCSOLE MEMBERDomestic entityTA PMA PURCHASER, LLC75% or moreCode EYesSOLE MEMBER10/2023Schedule BPDF page 35
12TA ASSOCIATES PMA HOLDINGS, LLCMEMBERDomestic entityPMA-PTA HOLDINGS, LLC25% to less than 50%Code CYesMEMBER10/2023Schedule BPDF page 35
13TA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P.MEMBERDomestic entityTA ASSOCIATES PMA HOLDINGS, LLC25% to less than 50%Code CYesMEMBER10/2023Schedule BPDF page 35
14TA XIV-B PMA BLOCKER CORP.LIMITED PARTNERDomestic entityTA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P.75% or moreCode EYesLIMITED PARTNER10/2023Schedule BPDF page 35
15TA ASSOCIATES XIV GP, L.P.GENERAL PARTNERForeign entityTA XIV-B PMA SUBSIDIARY PARTNERSHIP, L.P.Percentage not specifiedCode FYesGENERAL PARTNER10/2023Schedule BPDF page 35
16TA XIV-B, L.P.SHAREHOLDERForeign entityTA XIV-B PMA BLOCKER CORP.75% or moreCode EYesSHAREHOLDER10/2023Schedule BPDF page 35
17TA XIV-A, L.P.MEMBERForeign entityTA ASSOCIATES PMA HOLDINGS, LLC50% to less than 75%Code DYesMEMBER10/2023Schedule BPDF page 35
18TA ASSOCIATES XIV GP, L.P.GENERAL PARTNERForeign entityTA XIV-B, L.P.Percentage not specifiedCode FYesGENERAL PARTNER02/2021Schedule BPDF page 35
19TA ASSOCIATES XIV GP, L.P.GENERAL PARTNERForeign entityTA XIV-A, L.P.Percentage not specifiedCode FYesGENERAL PARTNER02/2021Schedule BPDF page 35
20TA ASSOCIATES CAYMAN, LLCGENERAL PARTNERForeign entityTA ASSOCIATES XIV GP, L.P.Percentage not specifiedCode FYesGENERAL PARTNER02/2021Schedule BPDF page 35
21PINNACLE FF AGGREGATOR, LLCMEMBERDomestic entityPMA-PTA HOLDINGS, LLC25% to less than 50%Code CYesMEMBER10/2024Schedule BPDF page 35
22FLEXPOINT FUND V-A, L.P.SOLE MEMBERForeign entityPINNACLE FF AGGREGATOR, LLC75% or moreCode EYesSOLE MEMBER05/2024Schedule BPDF page 35
23FLEXPOINT MANAGEMENT V, L.P.GENERAL PARTNERForeign entityFLEXPOINT FUND V-A, L.P.Percentage not specifiedCode FYesGENERAL PARTNER03/2022Schedule BPDF page 35
24DONALD J. EDWARDS REVOCABLE TRUSTLIMITED PARTNERDomestic entityFLEXPOINT MANAGEMENT V, L.P.25% to less than 50%Code CYesLIMITED PARTNER02/2024Schedule BPDF page 35
25DONALD JOSEPH EDWARDSTRUSTEEIndividualDONALD J. EDWARDS REVOCABLE TRUSTPercentage not specifiedCode FYesTRUSTEE06/2000Schedule BPDF page 35
26FLEXPOINT ULTIMATE MANAGEMENT V, LLCGENERAL PARTNERForeign entityFLEXPOINT MANAGEMENT V, L.P.Percentage not specifiedCode FYesGENERAL PARTNER03/2022Schedule BPDF page 35
27DONALD JOSEPH EDWARDSSOLE MEMBERIndividualFLEXPOINT ULTIMATE MANAGEMENT V, LLC75% or moreCode EYesSOLE MEMBER03/2022Schedule BPDF page 35
28PINNACLE PURCHASER, LLCMEMBERDomestic entityPUBLIC TRUST ADVISORS, LLC75% or moreCode EYesMEMBER10/2024Schedule BPDF page 35
29PINNACLE INTERMEDIATECO, LLCSOLE MEMBERDomestic entityPINNACLE PURCHASER, LLC75% or moreCode EYesSOLE MEMBER10/2024Schedule BPDF page 35
30PINNACLE EQUITYCO, LLCSOLE MEMBERDomestic entityPINNACLE INTERMEDIATECO, LLC75% or moreCode EYesSOLE MEMBER10/2024Schedule BPDF page 35
31PTMA FINANCIAL SOLUTIONS, LLCSOLE MEMBERDomestic entityPINNACLE EQUITYCO, LLC75% or moreCode EYesSOLE MEMBER08/2025Schedule BPDF page 35

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 12:24:38 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.