DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Pnc Mezzanine Management Corp

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 157565SEC 801-73142IAPD
Latest filing May 31, 2016
First filing on the tape Feb 2, 2012 · 15 filings
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$197M gross assets
History
15 filings and snapshots on the tape
RAUM$215M as of Mar 29, 2016
Apr 1, 2013$268M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)15 as of Mar 29, 2016
Apr 1, 201315 then
Private funds1 as of Mar 29, 2016
Apr 1, 20131 then
RAUM +12% over the last fiscal year-7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 31, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$215MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Pnc Mezzanine Partners III, L.P.Private Equity Fund$39.1M25Feb 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • James David Blair · Director, Presidentcontrol
        since 09/2005 · owns less than 5%
      • Mathew Peter Chiste · Directorcontrol
        since 09/2005 · owns less than 5%
      • White Jennifer Gurgovits · Chief Financial Officercontrol
        since 05/2012 · owns less than 5%
      • Richard Michael Stewart · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • Gregory Preston Walsh · Directorcontrol
        since 09/2005 · owns less than 5%
      Entity owners
      • Pnc Holding, LLC · Sole Shareholder
        direct · owns 75% or more
      • The Pnc Financial Services Group, Inc. · Sole Member
        indirect · owns 75% or more of Pnc Holding, LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Pnc Mezzanine Management Corp as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 11
        Sep 4, 2015 to Mar 29, 2016
      • Financial planning clients · 0 to unset
        Sep 4, 2015 to Mar 29, 2016
      • Discretionary RAUM · $192M to $215M
        Sep 4, 2015 to Mar 29, 2016
      • RAUM · $192M to $215M
        Sep 4, 2015 to Mar 29, 2016
      • Assets in custody · $222M to $0
        Nov 5, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Nov 5, 2014 to Mar 30, 2015
      • Discretionary RAUM · $276M to $192M
        Nov 5, 2014 to Mar 30, 2015
      • RAUM · $276M to $192M
        Nov 5, 2014 to Mar 30, 2015
      • Discretionary RAUM · $268M to $276M
        Feb 13, 2014 to Mar 31, 2014
      • RAUM · $268M to $276M
        Feb 13, 2014 to Mar 31, 2014
      • Assets in custody · unset to 221939589.0
        Apr 1, 2013 to Nov 26, 2013
      • Accounts · 3 to 1
        May 23, 2012 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        May 23, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 23, 2012 to Apr 1, 2013
      • Employees · unset to 15.0
        May 23, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        May 23, 2012 to Apr 1, 2013
      • Discretionary RAUM · $294M to $268M
        May 23, 2012 to Apr 1, 2013
      • RAUM · $294M to $268M
        May 23, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026