CITY NATIONAL ROCHDALE

Latest filing: Jun 20, 2024 (132 days ago)

AUM

$60,065,620,722
11% change vs. 1 year ago
31% change vs. 3 years ago
54% change vs. 5 years ago
169% change vs. 10 years ago

Employee Count

220
-27% change vs. 1 year ago
-30% change vs. 3 years ago
-20% change vs. 5 years ago
27% change vs. 10 years ago

Main Office

NEW YORK, NY
400 PARK AVENUE, NEW YORK, NY, UNITED STATES, 10022

Client AUM

Discretion AUM
Discretionary $60.0
Non-Discretionary $0.0
Total $60.1
Client AUM
Retail $38.5
Pooled $11.6
Institutional $9.9
Total $60.1
Retail Accounts AUM
Individual 1,086 $0.3
Average Individual AUM $251,017
HNW 15,584 $38.2
Average HNW AUM $2,452,949
Retail Total 16,670 $38.5
Average Retail AUM $2,309,500

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
CITY NATIONAL BANK LOS ANGELES-CA-USA $22.8
PERSHING LLC JERSEY CITY-NJ-USA $12.5
ASSETMARK BROKERAGE, LLC PHOENIX-AZ-USA $9.6

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $48.4
Retail SMA AUM $38.5
Institutional SMA AUM $9.9
Asset Class % AUM
Equity Exch 62% $30.0
Equity Non-Exch 0% $0.0
Govt Agency 10% $4.8
Municipal 13% $6.3
Sovereign 0% $0.0
IG Credit 10% $4.8
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 2% $1.0
Other 3% $1.5
Total 100% $48.4

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
RBC CAPITAL MARKETS, LLC $201.3 broker-dealer, municipal advisor 31194
CITY NATIONAL SECURITIES, INC. $1.5 broker-dealer 103705
SYMPHONIC FINANCIAL ADVISORS LLC $0.1 135603
CITY NATIONAL BANK $0.0 -
SYMPHONIC SECURITIES LLC $0.0 broker-dealer 139512
CNR SECURITIES, LLC $0.0 broker-dealer 18466
SYMPHONIC INSURANCE LLC $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

8 active

Name Title
HAWKESWORTH, KURT, ALEXANDER SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER
FREEMAN, WILLIAM, JAY BOARD MEMBER
GALVIN, THOMAS, A CHIEF INVESTMENT OFFICER
LEVY, ROCHELLE, BETH CHIEF COMPLIANCE OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

124 active representatives found, showing 20 random

Name City State Exams Designations
DAVID SHAPIRO NEW YORK NY S63|2004-10-13|S66|2014-10-14
CHARLES BOETTCHER NEW YORK NY S66|2013-09-05
KEVIN MCKENNA NEW YORK NY S66|2022-10-22
ALEXANDER MELEIS NEW YORK NY S63|2022-12-16 CHARTERED FINANCIAL ANALYST
JUSTIN PENDER NEW YORK NY S66|2014-01-26
CONNOR BAUER NEW YORK NY S66|2022-08-22
YASH PATIL NEW YORK NY S66|2021-03-02|S63|2024-04-03
DANIEL PINARD NEW YORK NY S66|2022-02-02
MATTHEW LARSON NEW YORK NY S66|2010-12-18
JONATHAN HERZOG NEW YORK NY S65|2014-12-09|S63|2022-02-07 CHARTERED FINANCIAL ANALYST
DAVID LITTLE NEW YORK NY S63|1998-02-26|S65|1999-11-02 CERTIFIED FINANCIAL PLANNER
KEREN ZHOU NEW YORK NY S66|2018-01-03 CHARTERED FINANCIAL ANALYST
CAMERON KILLEEN NEW YORK NY S66|2010-11-30
GERALD GAETA NEW YORK NY S63|1986-12-08|S65|2019-03-26
ELAYNA BARRISON NEW YORK NY S66|2016-11-08
BENJAMIN LUDWIG NEW YORK NY S63|1999-08-12|S65|2006-07-26
REGAN STANFIELD NEW YORK NY S63|2004-09-20 CERTIFIED FINANCIAL PLANNER
VINCENT LEMOINE NEW YORK NY S63|2022-10-31 CHARTERED FINANCIAL ANALYST
WAYNE TITCHE NEW YORK NY S63|2013-07-01 CHARTERED FINANCIAL ANALYST
AUSTIN CHOW NEW YORK NY S63|2020-01-10 CHARTERED FINANCIAL ANALYST

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $60.1 $0.0 0% 220 0 0%
2024-04-02 $60.1 $0.0 0% 220 0 0%
2023-04-04 $54.2 $5.9 11% 300 -80 -27%
2022-04-01 $58.0 $2.0 4% 305 -85 -28%
2021-04-05 $45.8 $14.3 31% 315 -95 -30%
2020-04-01 $43.2 $16.8 39% 301 -81 -27%
2019-04-01 $38.9 $21.1 54% 274 -54 -20%
2018-04-02 $35.7 $24.4 68% 274 -54 -20%
2017-04-01 $30.5 $29.5 97% 241 -21 -9%
2016-04-01 $27.7 $32.3 117% 211 9 4%
2015-04-01 $26.1 $34.0 130% 208 12 6%
2014-04-01 $22.3 $37.8 169% 173 47 27%
2013-04-01 $5.2 $54.8 1051% 105 115 110%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-11/25/2005, AL-06/20/1986, AR-11/23/2005, AZ-01/30/2001, CA-07/08/1997, CO-08/12/2002, CT-11/09/2001, DC-11/17/2001, DE-05/29/2003, FL-01/04/2002, GA-06/21/1991, HI-01/30/2001, IA-02/12/2001, ID-08/12/2002, IL-11/14/2001, IN-06/20/1986, KS-08/12/2002, KY-08/12/2002, LA-01/28/2002, MA-04/14/1994, MD-09/09/1991, ME-11/21/2005, MI-12/26/2001, MN-11/28/2001, MO-07/14/1993, MS-08/12/2002, MT-08/12/2002, NC-06/20/1986, ND-11/21/2005, NE-09/19/1997, NH-04/02/1998, NJ-12/26/2001, NM-08/12/2002, NV-06/20/1986, NY-10/15/1986, OH-02/01/2001, OK-11/21/2005, OR-06/10/2002, PA-06/20/1986, PR-03/28/2012, RI-06/20/1986, SC-06/20/1986, SD-11/16/2001, TN-01/31/2002, TX-11/14/2001, UT-11/21/2005, VA-11/17/1988, VI-03/18/2016, VT-06/01/1995, WA-06/20/1986, WI-03/02/1993, WV-11/21/2005, WY-09/28/2017
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
MANAGER SELECTION
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV