AUM
Employee Count
Main Office
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
Custodian | Location | AUM |
---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
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 | 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
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
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
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
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