PNC CAPITAL ADVISORS LLC of BALTIMORE, MD is an SEC-registered investment adviser (CRD 151829). Regulatory assets under management: $50.9B.
Compensation: % of AUM, Fixed.
Clients served: Pooled vehicles, Investment cos, Other.
Showing 25 of 45 people.
| Name | Role | Location |
|---|---|---|
| Thomas Reinhard Rus | CHIEF COMPLIANCE OFFICER | — |
| Marc David Yurko | CHIEF FINANCIAL OFFICER | — |
| Sean Terrence Rhoderick | MANAGER, BOARD OF MANAGERS AND CHIEF INVESTMENT OFFICER | — |
| Michael Paul Wilson | CHAIRMAN & PRESIDENT. | — |
| Thomas Joseph Harrington | CHIEF RISK OFFICER | — |
| Amanda E Agati | MANAGER, BOARD OF MANAGERS | — |
| David Roy Sanders | MANAGER, BOARD OF MANAGERS | — |
| Dennis Michael Mocarski | MANAGER, BOARD OF MANAGERS | — |
| FERGUSON SAVONNE LYNN | SECRETARY | — |
| HUMMEL JAQUELINE MARIE | CHIEF COMPLIANCE OFFICER | — |
| HARRINGTON LAWRENCE JOSEPH | CHIEF RISK OFFICER | — |
| PATEL HITESH C | INTERIM CHIEF RISK OFFICER | — |
| DONAHOE MICHAEL WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| GIOFFRE MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| SPRATLEY JENNIFER ELIZABETH | CHIEF ADMINISTRATIVE OFFICER; MANAGER, BOARD OF MANAGERS AND MANAGING DIRECTOR-BUSINESS ADMINISTRATION; SENIOR VICE PRESIDENT | — |
| WYNNE STEPHEN | DIRECTOR | — |
| REILLY ROBERT Q | DIRECTOR | — |
| GARLOCK BRYAN KENT | DIRECTOR; MANAGER, BOARD OF MANAGERS | — |
| WILSON ANDREW PAUL | CHAIRMAN & PRESIDENT.; MANAGER, BOARD OF MANAGERS | — |
| MCCREADIE KEVIN ANDREW | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| JESSIMAN ALISTAIR | MANAGER, BOARD OF MANAGERS | — |
| PULLINS MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| LECLAIR JENNIFER | DIRECTOR | — |
| CARR LAURA MARY | CHIEF ADMINISTRATIVE OFFICER | — |
| SHACK TIMOTHY GEORGE | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-07-18 | regulatory | THE OCC ALLEGED THAT PNC BANK, NA FAILED TO FORCE PLACE INSURANCE IN A TIMELY MANNER ON RESIDENTIAL DESIGNATED LOANS IN VIOLATION OF THE FLOOD DISASTER PROTECTION ACT (FLOOD ACT). | Final | $2.6M |
| 2018-05-01 | regulatory | THE OCC ALLEGED THAT PNC BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 102 OF THE FLOOD DISASTER PROTECTION ACT AND ITS IMPLEMENTING REGULATIONS IN CONNECTION WITH 125 COMMERCIAL LOANS. | Final | $207K |
| 2018-05-01 | regulatory | THE OCC ALLEGED THAT PNC, NA BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT IN CONNECTION WITH THE WAIVER OF CERTAIN FEES AND THE LINKING OF ACCOUNTS FOR OVERDRAFT PROTECTION TRANSFERS. | Final | $15.0M |
| 2017-12-01 | regulatory | ON SEPTEMBER 30, 2019, THE COMMODITIES FUTURES TRADING COMMISSION (CFTC) FILED AND SETTLED CHARGES AGAINST PNC BANK, NATIONAL ASSOCIATION (PNC), A PROVISIONALLY REGISTERED SWAP DEALER, FOR FAILING TO COMPLY WITH PNC'S SWAP REPORTING OBLIGATIONS AS A SWAP DEALER. ACCORDING TO THE ORDER, PNC FAILED TO… | Final | $300K |