PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Adviser information for PERFORMANCE TRUST CAPITAL PARTNERS, LLC last updated from Form ADV on September 5th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 357 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 334 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 2 | $301.7M |
| Total | 2 | $301.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $223.4M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $78.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 267 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsSecurity ratings or pricing servicesEducational seminars/workshopsBOND ACCOUNTING SERVICES |
|---|---|
| Compensation | % of AUMFixed feesBASED ON NUMBER OF HOLDINGS FOR PORTFOLIO ACCOUNTING SERVICE |
| Other Business Activities | Broker-dealer |
Principal Office
500 W. MADISONSUITE 450
CHICAGO
IL
United States
Monday - Friday, 8AM-5PM CT
Tel: 312-521-1000, Fax: 312-521-1251
Chief Compliance Officer
KRISTIN LOVE
MANAGING DIRECTOR
500 W. MADISON
SUITE 450
CHICAGO
IL
United States
Tel:
312-521-1435
K****@*******************M
(Full email address available in API data)
Regulatory Contact
KAREN JACKSON
DIRECTOR OF COMPLIANCE
500 W. MADISON
SUITE 450
CHICAGO
IL
United States
Tel:
312-521-1452
K*******@*******************M
(Full email address available in API data)
Industry Affiliates
| PT ASSET MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PT CAPITAL PARTNERS LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERG, RICHARD SCOTT | Individual | – | BOARD MEMBER | 01/2021 | < 5% |
| PT FINANCIAL COMPANIES, LLC | Domestic Entity | – | MANAGING MEMBER | 12/2006 | > 75% |
| ELDER, JASON ALAN | Individual | – | BOARD MEMBER | 01/2011 | < 5% |
| JOHNSON, CRAIG STEPHEN | Individual | – | MANAGING DIRECTOR - TRADE DESK | 05/2018 | < 5% |
| SHAH, CHIRAG | Individual | – | CEO AND PRESIDENT / BOARD MEMBER | 10/2020 | < 5% |
| BROWN, ERIC PAUL | Individual | – | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 10/2020 | < 5% |
| GAZDA, RYAN M | Individual | – | CHIEF FINANCIAL OFFICER | 03/2022 | < 5% |
| GILL, UMRAI SINGH | Individual | – | BOARD MEMBER | 07/2019 | < 5% |
| JOHNSON, ZACHARY ROBERT | Individual | – | BOARD MEMBER | 03/2021 | < 5% |
| PT FINANCIAL HOLDINGS, INC. | Domestic Entity | PT FINANCIAL COMPANIES LLC | OWNER | 12/2020 | > 75% |
| MISSION DRIVEN EMPLOYEE STOCK OWNERSHIP TRUST | Domestic Entity | PT FINANCIAL HOLDINGS, INC. | OWNER | 12/2020 | > 75% |
| KELLY, MICHAEL JOSEPH | Individual | – | BOARD MEMBER | 03/2021 | < 5% |
| SALUTRIC, DAVID RAYMOND | Individual | – | CHIEF OPERATING OFFICER | 03/2022 | < 5% |
| GOBBERDIEL, DAVID GEORGE | Individual | – | HEAD OF FINANCIAL INSTITUTIONS GROUP | 11/2022 | < 5% |
| HAMILTON, JOE MARTIN | Individual | – | INTERIM GENERAL COUNSEL | 07/2023 | < 5% |
| LOVE, KRISTIN M | Individual | – | INTERIM CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |
| GREATBANC TRUST COMPANY | Domestic Entity | MISSION DRIVEN EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 12/2020 |