RBC CAPITAL MARKETS, LLC
Latest filing: Feb 25, 2025 (45 days ago)
AUM
$259,962,335,074
29% change vs. 1 year ago
29% change vs. 3 years ago
83% change vs. 5 years ago
248% change vs. 10 years ago
Employee Count
8,476
3% change vs. 1 year ago
8% change vs. 3 years ago
8% change vs. 5 years ago
23% change vs. 10 years ago
Main Office
NEW YORK, NY
200 VESEY ST., NEW YORK, NY, UNITED STATES, 10281
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $196.9 |
| Non-Discretionary | $63.0 |
| Total | $260.0 |
| Client | AUM |
|---|---|
| Retail | $233.4 |
| Pooled | $0.6 |
| Institutional | $26.0 |
| Total | $260.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 273,853 | $160.5 |
| Average Individual AUM | $586,229 | |
| HNW | 11,746 | $72.9 |
| Average HNW AUM | $6,204,074 | |
| Retail Total | 285,599 | $233.4 |
| Average Retail AUM | $817,277 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $259.4 |
| Retail SMA AUM | $233.4 |
| Institutional SMA AUM | $26.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 42% | $108.9 |
| Equity Non-Exch | 2% | $5.2 |
| Govt Agency | 4% | $10.4 |
| Municipal | 4% | $10.4 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $5.2 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 40% | $103.8 |
| Other Pools | 0% | $0.0 |
| Cash | 6% | $15.6 |
| Other | 0% | $0.0 |
| Total | 100% | $259.4 |
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 GLOBAL ASSET MANAGEMENT (UK) LIMITED | $137.8 | 168551 | |
| RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. | $76.5 | 107173 | |
| CITY NATIONAL ROCHDALE, LLC | $68.2 | 117198 | |
| RBC PRIVATE COUNSEL (USA) INC. | $6.8 | 109648 | |
| RBC INVESTOR SERVICES TRUST | $0.0 | trust company | - |
| ROYAL BANK OF CANADA (CHANNEL ISLANDS) LIMITED | $0.0 | trust company | - |
| RBC DOMINION SECURITIES, INC. | $0.0 | broker-dealer | - |
| RBC EUROPE LIMITED | $0.0 | broker-dealer | - |
| CITY NATIONAL BANK | $0.0 | - | |
| RBC TRUST COMPANY (DELAWARE) LIMITED | $0.0 | trust company | - |
| RBC SECURITIES AUSTRALIA PTY LTD. | $0.0 | broker-dealer | - |
| RBC MUNICIPAL PRODUCTS, LLC | $0.0 | - | |
| RBC BANK (GEORGIA), N.A. | $0.0 | - | |
| RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC. | $0.0 | - | |
| RBC CMA LLC | $0.0 | broker-dealer | 121263 |
| RBC TAX CREDIT EQUITY, LLC | $0.0 | - | |
| TCA TRUSTCORP AMERICA | $0.0 | trust company | - |
| ROYAL BANK OF CANADA | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
19 active
| Name | Title |
|---|---|
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER & CHAIRMAN OF THE BOARD |
| KACHENOURA, AHMED | HEAD, GLOBAL EQUITIES, RBC CAPITAL MARKETS |
| THORNE, BRETT LANE | HEAD, CORRESPONDENT AND ADVISOR SERVICES |
| MURPHY, THOMAS N | HEAD, US CM OPERATIONS |
| SMALL, ANDREW CHRISTOPHER | SVP, CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. |
| STOPNIK, MATTHEW ROSS | CO-HEAD, US INVESTMENT BANKING |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER |
| PENN, JOHN CHRISTOPHER | U.S. CAPITAL MARKETS GENERAL COUNSEL |
| BUCHERT, TAMMY JEAN | WEALTH MANAGEMENT-U.S. CHIEF ADMINISTRATIVE OFFICER AND INTERIM PRINCIPAL OPERATIONS OFFICER |
| SENNE, ANN MARIE | DIRECTOR |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. |
| TAYLOR, SUZANNE MARIE | CHIEF COMPLIANCE OFFICER OF WM-US' REGISTERED INVESTMENT ADVISOR |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA |
ADVDB.CO • SOURCE: SEC
Representatives
3,530 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| WILLIAM WHITTINGTON | NEW YORK | NY | S66|2007-07-31 | ||||||
| DAVIS JOHNSON | NEW YORK | NY | S66|2015-07-10 | CERTIFIED FINANCIAL PLANNER | |||||
| ALICJA JACKIEWICZ | NEW YORK | NY | S66|2023-06-16 | ||||||
| GRAHAM GLOSSER | NEW YORK | NY | S66|2021-11-05 | ||||||
| SCOTT SANGERMAN | NEW YORK | NY | S63|1984-01-04|S65|1992-06-25 | ||||||
| RYAN DWYER | NEW YORK | NY | S66|2006-09-07 | ||||||
| TAYLOR MARINO | NEW YORK | NY | S66|2010-09-21 | ||||||
| ZACHARY PERSIN | NEW YORK | NY | S66|2014-03-21 | ||||||
| JOHN BENNETT | NEW YORK | NY | S63|1999-06-24|S65|2001-05-11 | ||||||
| STEVEN KARMELIN | NEW YORK | NY | S63|1997-07-29|S65|2002-06-21 | ||||||
| CHRISTOPHER SWATTA | NEW YORK | NY | S66|2013-02-14 | ||||||
| JENNIFER THOENNES | NEW YORK | NY | S66|2022-11-18 | ||||||
| AMY ROYSE | NEW YORK | NY | S66|2010-07-13 | ||||||
| JOSEPH JACHIMIAK | NEW YORK | NY | S66|2024-03-11 | ||||||
| JOSHUA HARRIS | NEW YORK | NY | S66|2023-04-18 | ||||||
| JAMES WYMAN | NEW YORK | NY | S66|2019-07-30 | ||||||
| MICHAEL ROY | NEW YORK | NY | S66|2019-09-30 | ||||||
| NATASHA BULPIN | NEW YORK | NY | S66|2018-12-14 | ||||||
| MARY MATHIAS | NEW YORK | NY | S63|1986-11-18|S65|1999-02-24 | CERTIFIED FINANCIAL PLANNER | |||||
| NICOLE MOLINEUX | NEW YORK | NY | S66|2012-11-21 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $260.0 | $0.0 | 0% | 8,476 | 0 | 0% |
| 2024-04-02 | $201.3 | $58.7 | 29% | 8,204 | 272 | 3% |
| 2023-04-04 | $183.5 | $76.5 | 42% | 8,094 | 382 | 5% |
| 2022-04-01 | $201.2 | $58.8 | 29% | 7,825 | 651 | 8% |
| 2021-04-05 | $146.6 | $113.4 | 77% | 7,859 | 617 | 8% |
| 2020-04-01 | $141.7 | $118.2 | 83% | 7,825 | 651 | 8% |
| 2019-04-01 | $118.7 | $141.2 | 119% | 7,576 | 900 | 12% |
| 2018-04-02 | $106.0 | $153.9 | 145% | 7,115 | 1,361 | 19% |
| 2017-04-01 | $81.8 | $178.2 | 218% | 6,844 | 1,632 | 24% |
| 2016-04-01 | $76.3 | $183.7 | 241% | 6,864 | 1,612 | 23% |
| 2015-04-01 | $74.6 | $185.3 | 248% | 6,869 | 1,607 | 23% |
| 2014-04-01 | $67.7 | $192.3 | 284% | 6,802 | 1,674 | 25% |
| 2013-04-01 | $50.6 | $209.4 | 414% | 6,823 | 1,653 | 24% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-02/08/1996, AL-02/27/1996, AR-01/08/1999, AZ-08/16/2001, CA-07/08/1997, CO-01/01/1999, CT-02/24/1997, DC-05/28/1998, DE-08/21/2003, FL-03/26/2001, GA-01/02/1998, HI-04/21/1998, IA-01/01/1999, ID-08/20/1991, IL-08/03/1990, IN-02/06/2001, KS-12/04/1997, KY-01/11/2001, LA-10/01/2001, MD-08/09/1996, ME-01/30/2002, MI-04/23/1998, MN-03/05/1998, MO-07/11/1990, MS-01/21/1998, MT-12/01/1997, NC-01/11/2001, ND-10/25/1996, NE-03/25/1999, NH-08/12/1996, NJ-04/21/1998, NM-05/17/1996, NV-01/11/1993, NY-03/10/1993, OH-06/16/2000, OK-01/01/1998, OR-08/20/2001, PA-08/16/2001, PR-04/22/1998, RI-04/22/1998, SC-07/15/1996, SD-08/23/1990, TN-04/13/1998, TX-01/20/1998, UT-04/11/1995, VA-03/12/1993, VI-10/06/2008, VT-04/23/1998, WA-06/01/1988, WI-04/15/1998, WV-04/23/1998, WY-07/05/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER FUTURES MERCHANT INSURANCE AGENT MUNICIPAL ADVISOR SWAP DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV