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Chief Compliance Officer & General Counsel · PT Asset Management, LLC

Anne M. Duffy

CRD 6497294 · Named on Form ADV at one SEC-registered adviser

At a glance

PT Asset Management, LLC, an SEC-registered asset manager based in Chicago, IL with $11.3 billion in regulatory assets, lists Anne M. Duffy on its Form ADV as Chief Compliance Officer & General Counsel, a control person.

Firms and roles

  • PT Asset Management, LLCChief Compliance Officer & General CounselAsset manager · Chicago, IL · $11B in regulatory assets

AtlasMembers

Anne’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (8)

3 more people named with Anne on the same filings, with titles and firms. Free in Atlas with a free account.

See all 8 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Anne’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.