Firms by custodian
Registered investment advisers that custody at RBC Capital Markets
4 SEC-registered advisers report RBC Capital Markets as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
4 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Thornburg Investment ManagementCRD 106357 | Santa Fe, NM | $54.45B | 40 | 635 |
| Wealthfront AdvisersCRD 148456 | Palo Alto, CA | $47.73B | 24 | 518,639 |
| Gregory J. Schwartz &CRD 7294 | Bloomfield Hills, MI | $10.49B | 23 | 1,737 |
| Sprott Asset Management USACRD 139022 | Darien, CT | $10.12B | 35 | 3,362 |
Thornburg Investment ManagementCRD 106357$54.45B
- Headquarters
- Santa Fe, NM
- Advisory staff
- 40
- Clients
- 635
Wealthfront AdvisersCRD 148456$47.73B
- Headquarters
- Palo Alto, CA
- Advisory staff
- 24
- Clients
- 518,639
Gregory J. Schwartz &CRD 7294$10.49B
- Headquarters
- Bloomfield Hills, MI
- Advisory staff
- 23
- Clients
- 1,737
Sprott Asset Management USACRD 139022$10.12B
- Headquarters
- Darien, CT
- Advisory staff
- 35
- Clients
- 3,362
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming RBC Capital Markets here says only what the filing says, and implies nothing about either firm's service.