RBC CAPITAL MARKETS, LLC
Latest filing: Sep 27, 2024 (33 days ago)
AUM
$201,263,931,084
10% change vs. 1 year ago
37% change vs. 3 years ago
70% change vs. 5 years ago
197% change vs. 10 years ago
Employee Count
8,204
1% change vs. 1 year ago
4% change vs. 3 years ago
8% change vs. 5 years ago
21% change vs. 10 years ago
Main Office
NEW YORK, NY
200 VESEY ST., NEW YORK, NY, UNITED STATES, 10281
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $148.3 |
| Non-Discretionary | $53.0 |
| Total | $201.3 |
| Client | AUM |
|---|---|
| Retail | $180.5 |
| Pooled | $0.5 |
| Institutional | $20.3 |
| Total | $201.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 243,146 | $133.0 |
| Average Individual AUM | $546,799 | |
| HNW | 6,688 | $47.5 |
| Average HNW AUM | $7,108,690 | |
| Retail Total | 249,834 | $180.5 |
| Average Retail AUM | $722,460 |
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 | $200.8 |
| Retail SMA AUM | $180.5 |
| Institutional SMA AUM | $20.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 40% | $80.3 |
| Equity Non-Exch | 2% | $4.0 |
| Govt Agency | 4% | $8.0 |
| Municipal | 4% | $8.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $4.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 40% | $80.3 |
| Other Pools | 0% | $0.0 |
| Cash | 7% | $14.1 |
| Other | 0% | $0.0 |
| Total | 99% | $198.8 |
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 | $121.9 | 168551 | |
| RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. | $79.9 | 107173 | |
| CITY NATIONAL ROCHDALE, LLC | $60.1 | 117198 | |
| RBC PRIVATE COUNSEL (USA) INC. | $5.0 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| STEVEN HERZOG | NEW YORK | NY | S63|1991-10-10|S65|1995-01-16 | ||||||
| MARC LIPSON | NEW YORK | NY | S66|2005-12-22 | ||||||
| AMY LAWIN | NEW YORK | NY | S66|2019-03-22 | ||||||
| JEFFREY HYMAN | NEW YORK | NY | S63|1992-05-12|S65|2006-12-08 | ||||||
| MARK DEWANE | NEW YORK | NY | S63|1985-10-10|S65|2011-09-01 | ||||||
| JAMES DUNN | NEW YORK | NY | S63|1984-07-13|S65|1997-04-10 | ||||||
| JESSICA OVRUTSKY | NEW YORK | NY | S66|2014-10-29 | ||||||
| LORI CARROLL | NEW YORK | NY | S63|1997-07-03|S65|2001-12-17 | ||||||
| DEAN JOHNSON | NEW YORK | NY | S66|2001-08-03 | ||||||
| APRIL EMEOLA | NEW YORK | NY | S63|2019-07-29|S66|2020-02-19 | ||||||
| THOMAS PRENTICE | NEW YORK | NY | S63|1983-07-05|S65|1994-09-26 | ||||||
| RICHARD CACCIAPAGLIA | NEW YORK | NY | S63|1998-02-04|S65|1998-02-27 | ||||||
| CAROL BRUNDIECK | NEW YORK | NY | S63|1998-07-01|S66|2012-11-27 | ||||||
| JOSHUA COHEN | NEW YORK | NY | S63|1993-08-11|S65|1999-06-10 | ||||||
| SCOTT DEFFINBAUGH | NEW YORK | NY | S63|2003-01-17|S66|2004-04-09 | CERTIFIED FINANCIAL PLANNER | |||||
| VITTORIO ALTAVAS | NEW YORK | NY | S66|2009-08-17 | ||||||
| GREGORY DUDZIK | NEW YORK | NY | S63|1983-06-01|S65|1992-09-16 | ||||||
| LORA BUCCI | NEW YORK | NY | S66|2006-11-14 | ||||||
| HOLLY HARVEY | NEW YORK | NY | S63|1997-09-05|S65|1999-12-21 | ||||||
| CHRISTOPHER SWATTA | NEW YORK | NY | S66|2013-02-14 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $201.3 | $0.0 | 0% | 8,204 | 0 | 0% |
| 2024-04-02 | $201.3 | $0.0 | 0% | 8,204 | 0 | 0% |
| 2023-04-04 | $183.5 | $17.8 | 10% | 8,094 | 110 | 1% |
| 2022-04-01 | $201.2 | $0.1 | 0% | 7,825 | 379 | 5% |
| 2021-04-05 | $146.6 | $54.7 | 37% | 7,859 | 345 | 4% |
| 2020-04-01 | $141.7 | $59.5 | 42% | 7,825 | 379 | 5% |
| 2019-04-01 | $118.7 | $82.5 | 70% | 7,576 | 628 | 8% |
| 2018-04-02 | $106.0 | $95.2 | 90% | 7,115 | 1,089 | 15% |
| 2017-04-01 | $81.8 | $119.5 | 146% | 6,844 | 1,360 | 20% |
| 2016-04-01 | $76.3 | $125.0 | 164% | 6,864 | 1,340 | 20% |
| 2015-04-01 | $74.6 | $126.6 | 170% | 6,869 | 1,335 | 19% |
| 2014-04-01 | $67.7 | $133.6 | 197% | 6,802 | 1,402 | 21% |
| 2013-04-01 | $50.6 | $150.7 | 298% | 6,823 | 1,381 | 20% |
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 |
ADVDB.CO • SOURCE: SEC FORM ADV