CITY NATIONAL ROCHDALE
Latest filing: Jan 27, 2025 (81 days ago)
AUM
$68,177,828,012
14% change vs. 1 year ago
17% change vs. 3 years ago
58% change vs. 5 years ago
161% change vs. 10 years ago
Employee Count
235
7% change vs. 1 year ago
-23% change vs. 3 years ago
-22% change vs. 5 years ago
13% change vs. 10 years ago
Main Office
NEW YORK, NY
400 PARK AVENUE, NEW YORK, NY, UNITED STATES, 10022
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $68.1 |
| Non-Discretionary | $0.1 |
| Total | $68.2 |
| Client | AUM |
|---|---|
| Retail | $45.6 |
| Pooled | $11.7 |
| Institutional | $10.9 |
| Total | $68.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 450 | $0.2 |
| Average Individual AUM | $349,816 | |
| HNW | 15,433 | $45.5 |
| Average HNW AUM | $2,946,808 | |
| Retail Total | 15,883 | $45.6 |
| Average Retail AUM | $2,873,229 |
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 | $56.5 |
| Retail SMA AUM | $45.6 |
| Institutional SMA AUM | $10.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 66% | $37.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 8% | $4.5 |
| Municipal | 13% | $7.3 |
| Sovereign | 0% | $0.0 |
| IG Credit | 10% | $5.6 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.6 |
| Other | 2% | $1.1 |
| Total | 100% | $56.5 |
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 | $260.0 | broker-dealer, municipal advisor | 31194 |
| CITY NATIONAL SECURITIES, INC. | $1.6 | 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
Representatives
124 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARIA ARONOFF | NEW YORK | NY | S63|1998-05-04|S66|2016-06-30 | CERTIFIED FINANCIAL PLANNER | |||||
| NICHOLAS CAVALLARO | NEW YORK | NY | S63|2015-07-28 | CHARTERED FINANCIAL ANALYST | |||||
| VINCE VU | NEW YORK | NY | S66|2018-12-07 | ||||||
| VERN MONTROSS | NEW YORK | NY | S66|2010-07-02 | ||||||
| STEVEN DENIKE | NEW YORK | NY | S63|1996-01-24|S65|2015-05-13 | ||||||
| ANDREW BLOCK | NEW YORK | NY | S63|2013-04-04 | CHARTERED FINANCIAL ANALYST | |||||
| CAMERON KILLEEN | NEW YORK | NY | S66|2010-11-30 | ||||||
| DAVID SHAPIRO | NEW YORK | NY | S63|2004-10-13|S66|2014-10-14 | ||||||
| NICHOLAS THOMPSON | NEW YORK | NY | S63|2019-09-20 | CHARTERED FINANCIAL ANALYST | |||||
| JUSTIN PENDER | NEW YORK | NY | S66|2014-01-26 | ||||||
| SIMON CHAPMAN | NEW YORK | NY | S66|2013-06-28 | ||||||
| CHRISTOPHER DOUGLAS | NEW YORK | NY | S66|2020-05-22 | ||||||
| KEVIN MCINTOSH | NEW YORK | NY | S63|2001-03-29|S65|2005-12-22 | ||||||
| POUL ERIK OLSEN | NEW YORK | NY | S63|1995-01-10|S65|2003-08-05 | ||||||
| ANDREW ROTHSTEIN | NEW YORK | NY | S63|2023-02-03 | CHARTERED FINANCIAL ANALYST | |||||
| BENJAMIN LUDWIG | NEW YORK | NY | S63|1999-08-12|S65|2006-07-26 | ||||||
| JESUS RODRIGUEZ | NEW YORK | NY | S63|2022-11-26 | CHARTERED FINANCIAL ANALYST | |||||
| EVAN LINCOLN | NEW YORK | NY | S65|2019-03-19 | ||||||
| MICHAEL KORZENKO | NEW YORK | NY | S66|2007-02-12 | ||||||
| PETER GREEN | NEW YORK | NY | S63|2000-01-31 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $68.2 | $0.0 | 0% | 235 | 0 | 0% |
| 2024-04-02 | $60.1 | $8.1 | 14% | 220 | 15 | 7% |
| 2023-04-04 | $54.2 | $14.0 | 26% | 300 | -65 | -22% |
| 2022-04-01 | $58.0 | $10.1 | 17% | 305 | -70 | -23% |
| 2021-04-05 | $45.8 | $22.4 | 49% | 315 | -80 | -25% |
| 2020-04-01 | $43.2 | $24.9 | 58% | 301 | -66 | -22% |
| 2019-04-01 | $38.9 | $29.2 | 75% | 274 | -39 | -14% |
| 2018-04-02 | $35.7 | $32.5 | 91% | 274 | -39 | -14% |
| 2017-04-01 | $30.5 | $37.6 | 123% | 241 | -6 | -2% |
| 2016-04-01 | $27.7 | $40.5 | 146% | 211 | 24 | 11% |
| 2015-04-01 | $26.1 | $42.1 | 161% | 208 | 27 | 13% |
| 2014-04-01 | $22.3 | $45.9 | 206% | 173 | 62 | 36% |
| 2013-04-01 | $5.2 | $63.0 | 1207% | 105 | 130 | 124% |
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