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.
Teams that joined Pnc Managed Account Solutions, Inc.
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 4 | Pnc Wealth Management BD affiliated | Pnc Managed Account Solutions, Inc. independent RIA | Houston, Tx +2 | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2023 |
| 2 | Usaa Investment Services Company no RAUM | Pnc Managed Account Solutions, Inc. BD affiliated | Plano, Tx +1 | Other | Jun 17, 2020 over 5 d |
| 2 | Charles Schwab & Co., Inc. national BD | Pnc Managed Account Solutions, Inc. BD affiliated | Lone Tree, Co +1 | Affiliated broker-dealer or bank to another | May 22, 2019 over 6 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pnc Managed Account Solutions, Inc. BD affiliated | Mcallen, Tx +1 | Wirehouse to affiliated broker-dealer or bank | Jan 18, 2019 over 12 d |
| 3 | Wells Fargo Advisors wirehouse | Pnc Managed Account Solutions, Inc. other | Glendale, Az +2 | Other | Aug 4, 2015 over 14 d |