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
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