{"url":"https://nivawealth.com/firms/rbc-rochdale-117198","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/117198","regulatoryAum":72960498578,"crd":"117198","secFileNumber":"801-27265","legalName":"RBC Rochdale, LLC","displayName":"RBC Rochdale","website":"https://www.rbcrochdale.com/","linkedinUrl":"https://www.linkedin.com/company/rbc-rochdale/","founded":"1986","organization":"Delaware limited liability company","fiscalYearEnd":"October","headquarters":{"street":"400 Park Avenue, 10th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10022"},"tradeNames":["RBC Rochdale"],"registration":{"secApproved":"20 June 1986","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":269,"advisory":138,"brokerDealerReps":146,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":72843280822,"discretionaryAccounts":42649,"nonDiscretionary":117217756,"nonDiscretionaryAccounts":121,"wrapProgram":42671277000,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":391,"regulatoryAum":153046254},{"label":"High-net-worth individuals","clients":15779,"regulatoryAum":49897131705},{"label":"Investment companies","clients":6,"regulatoryAum":11433150241},{"label":"Pension and profit-sharing plans","clients":180,"regulatoryAum":956638293},{"label":"Charitable organizations","clients":122,"regulatoryAum":2060058306},{"label":"State or municipal government entities","clients":1,"regulatoryAum":573257693},{"label":"Corporations and other businesses","clients":575,"regulatoryAum":7887216086}],"fees":[{"service":"Investment advisory services","basis":"Tiered percentage of assets under management; negotiable, billed in advance or in arrears.","range":"0.50% to 1.00% a year"},{"service":"Portfolio up to $2,000,000","basis":"One tier of the fee schedule","range":"1.00% a year"},{"service":"Portfolio from $2,000,000 to $5,000,000","basis":"One tier of the fee schedule","range":"0.80% a year"},{"service":"Portfolio from $5,000,000 to $10,000,000","basis":"One tier of the fee schedule","range":"0.60% a year"},{"service":"Portfolio above $10,000,000","basis":"One tier of the fee schedule","range":"0.50% a year"}],"feeNotes":[],"custodians":[{"name":"City National Bank","shortName":"City National Bank","location":"Los Angeles, CA","smaAssets":25259153879},{"name":"Assetmark Brokerage, LLC","shortName":"Assetmark Brokerage","location":"Phoenix, AZ","smaAssets":13445923902},{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":14469075940}],"custodyNote":"RBC Rochdale has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregg Giaquinto","title":"President, CEO & Board Director","crd":"3182583"},{"name":"Christina Weber","title":"Chief Compliance Officer","crd":"6041124"},{"name":"Joby Daniel","title":"Board Director","crd":"6616727"},{"name":"Philip Gallo","title":"Board Director","crd":"4074047"},{"name":"Charles Luke","title":"Chief Investment Officer","crd":"5419833"},{"name":"Ivor O'Keeffe","title":"Board Director","crd":"2397120"},{"name":"Shawn Riley","title":"Board Director","crd":"7574191"},{"name":"Brandon Williams","title":"Chairman of the Board","crd":"2764403"}],"ownership":[{"label":"City National Rochdale Holdings LLC","detail":"Managing member in the 75% or more ownership band and a control person, since May 2005."},{"label":"City National Bank","detail":"Indirect owner: a managing member of cnr holdings llc of City National Rochdale Holdings LLC in the 75% or more band and a control person, since July 2012.","parent":"City National Rochdale Holdings LLC"},{"label":"RBC USA Holdco Corporation","detail":"Indirect owner: a owner of City National Bank in the 75% or more band and a control person, since November 2015.","parent":"City National Bank"},{"label":"Royal Bank of Canada","detail":"Indirect owner: a ultimate owner of RBC USA Holdco Corporation in the 75% or more band and a control person, since November 2015.","parent":"RBC USA Holdco Corporation"},{"label":"RBC US Group Holdings LLC","detail":"Indirect owner: a direct owner of RBC USA Holdco Corporation in the 75% or more band and a control person, since June 2018.","parent":"RBC USA Holdco Corporation"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":10,"privateResidences":0},"listedOfficeAddresses":11,"officesByState":[{"state":"California","offices":5,"addresses":[{"street":"400 N. Roxbury Drive","city":"Beverly Hills"},{"street":"455 Market Street","city":"San Francisco"},{"street":"4275 Executive Square","city":"La Jolla"},{"street":"18111 Von Karman Ave","city":"Irvine"},{"street":"55 South Lake Avenue","city":"Pasadena"}]},{"state":"Florida","offices":1,"addresses":[{"street":"605 Crescent Executive CT","city":"Lake Mary"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"225 W. Washington ST.","city":"Chicago"}]},{"state":"New York","offices":1,"addresses":[{"street":"400 Park Avenue, 10th Floor","city":"New York","headquarters":true}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"342 W Ridge Pike","city":"Limerick"}]},{"state":"Texas","offices":1,"addresses":[{"street":"1800 West Loop South","city":"Houston"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"7275 Glen Forest Drive","city":"Richmond"}]}],"minimumAccount":1000000,"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-702-3500","stateRegisteredReps":122,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":68},{"label":"U.S. government/agency bonds","percent":7},{"label":"U.S. state and local bonds","percent":12},{"label":"Investment grade corporate bonds","percent":10},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":1},"sources":{"adv1FilingDate":"10 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/117198/PDF/117198.pdf","brochureDate":"28 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046558","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"logo":{"src":"/firms/rbc-rochdale-117198.webp","width":174,"height":200,"tone":"dark","sourceLabel":"RBC Rochdale, website","sourceUrl":"https://www.rbcrochdale.com/"},"otherBusiness":[],"faq":[{"question":"How many clients does RBC Rochdale have?","answer":"RBC Rochdale has 17,054 clients and manages $73 billion for them, as of September 2026. They include 15,779 high-net-worth individuals, 575 corporations and other businesses and 391 other individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does RBC Rochdale offer?","answer":"RBC Rochdale provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does RBC Rochdale charge?","answer":"RBC Rochdale charges 0.50% to 1.00% a year for investment advisory services. Other rates: portfolio up to $2,000,000 (1.00% a year), portfolio from $2,000,000 to $5,000,000 (0.80% a year), portfolio from $5,000,000 to $10,000,000 (0.60% a year) and portfolio above $10,000,000 (0.50% a year).","source":"Part 2A brochure, Item 5","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does RBC Rochdale use?","answer":"RBC Rochdale’s separately managed account assets are held at City National Bank (Los Angeles, CA), with $25,259,153,879, Pershing LLC (Jersey City, NJ), with $14,469,075,940 and Assetmark Brokerage, LLC (Phoenix, AZ), with $13,445,923,902. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does RBC Rochdale have?","answer":"RBC Rochdale has 122 investment adviser representatives registered with state securities authorities, out of 269 employees, and 138 perform investment advisory functions. 146 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does RBC Rochdale invest in?","answer":"At the end of its last fiscal year, RBC Rochdale’s separately managed accounts held 68% exchange-traded equities, 12% state and local bonds, 10% investment grade corporate bonds, 7% U.S. government and agency bonds, 2% pooled vehicles (private funds and similar) and 1% cash and equivalents. It advises 1 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does RBC Rochdale have a minimum investment?","answer":"Yes, RBC Rochdale’s minimum account size is $1,000,000.","source":"Part 2A brochure, Items 5 and 7","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns RBC Rochdale?","answer":"RBC Rochdale is owned through a chain of holding companies by Royal Bank of Canada and RBC US Group Holdings LLC. Its direct owner is City National Rochdale Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does RBC Rochdale get paid?","answer":"RBC Rochdale is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}