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Interim Chief Compliance Officer/regulatory Attorney · Ptma Investment Advisors

Shannon M. Seiferth

CRD 8148089 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Ptma Investment Advisors, an SEC-registered private fund adviser based in Denver, CO with $104.2 billion in regulatory assets, lists Shannon M. Seiferth on its Form ADV as Interim Chief Compliance Officer/regulatory Attorney, a control person. The SEC filings also name Shannon at 1 other registered adviser.

Firms and roles

  • Ptma Investment AdvisorsInterim Chief Compliance Officer/regulatory AttorneyPrivate fund adviser · Denver, CO · $104B in regulatory assets
  • Ptma Investment AdvisorsInterim Chief Compliance Officer/regulatory AttorneyPrivate fund adviser · Naperville, IL · $31B in regulatory assets

AtlasMembers

Shannon’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 each firm
2 firmsLocked
Control-person status
2 firmsLocked
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

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