AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $79.9 |
Non-Discretionary | $0.0 |
Total | $79.9 |
Client | AUM |
---|---|
Retail | $0.1 |
Pooled | $55.5 |
Institutional | $24.3 |
Total | $79.9 |
Retail | Accounts | AUM |
---|---|---|
Individual | 59 | $0.0 |
Average Individual AUM | $740,710 | |
HNW | 4 | $0.0 |
Average HNW AUM | $6,348,825 | |
Retail Total | 63 | $0.1 |
Average Retail AUM | $1,096,780 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
U.S. BANK NATIONAL ASSOCIATION | CINCINNATI-OH-USA | $7.1 |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION | COLUMBUS-OH-USA | $3.4 |
THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $2.9 |
COMERICA BANK | DALLAS-TX-USA | $2.6 |
STATE STREET BANK AND TRUST | BOSTON-MA-USA | $2.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $24.4 |
Retail SMA AUM | $0.1 |
Institutional SMA AUM | $24.3 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 13% | $3.2 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 28% | $6.8 |
Municipal | 1% | $0.2 |
Sovereign | 0% | $0.0 |
IG Credit | 31% | $7.6 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 0% | $0.0 |
Other Pools | 0% | $0.0 |
Cash | 3% | $0.7 |
Other | 24% | $5.9 |
Total | 100% | $24.4 |
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 CAPITAL MARKETS, LLC | $201.3 | broker-dealer, municipal advisor | 31194 |
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED | $121.9 | 168551 | |
CITY NATIONAL ROCHDALE, LLC | $60.1 | 117198 | |
RBC GLOBAL ASSET MANAGEMENT INC. | $0.0 | - | |
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED | $0.0 | - | |
BLUEBAY FUNDS MANAGEMENT COMPANY S.A. | $0.0 | 325907 | |
ROYAL BANK OF CANADA | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
11 active
Name | Title |
---|---|
LEE, MICHAEL, THOMAS | DIRECTOR, CEO AND PRESIDENT |
TIMMER, CAROL, ANN | CHIEF OPERATING OFFICER |
WILLIAMS, DAMON, GRANT | DIRECTOR |
WEBER, CHRISTINA, MARIE | CHIEF COMPLIANCE OFFICER |
NEMANI, VIKESH | DIRECTOR |
CHUNG-MCLEAN, YONETTE, BEVERLY | DIRECTOR |
MOONSAMMY, BYRN, N | CHIEF FINANCIAL OFFICER |
SKIBA, WLODZIMIERZ, ANDRZEJ | DIRECTOR |
ADVDB.CO • SOURCE: SEC
No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $79.9 | $0.0 | 0% | 195 | 0 | 0% |
2024-04-02 | $79.9 | $0.0 | 0% | 195 | 0 | 0% |
2023-04-04 | $38.0 | $41.9 | 110% | 205 | -10 | -5% |
2022-04-01 | $57.5 | $22.4 | 39% | 194 | 1 | 1% |
2021-04-05 | $56.5 | $23.5 | 42% | 173 | 22 | 13% |
2020-04-01 | $40.0 | $39.9 | 100% | 173 | 22 | 13% |
2019-04-01 | $32.4 | $47.6 | 147% | 173 | 22 | 13% |
2018-04-02 | $35.3 | $44.6 | 126% | 166 | 29 | 17% |
2017-04-01 | $40.0 | $39.9 | 100% | 165 | 30 | 18% |
2016-04-01 | $42.5 | $37.4 | 88% | 155 | 40 | 26% |
2015-04-01 | $43.9 | $36.0 | 82% | 134 | 61 | 46% |
2014-04-01 | $45.7 | $34.3 | 75% | 129 | 66 | 51% |
2013-04-01 | $40.5 | $39.4 | 97% | 119 | 76 | 64% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
MN, AK-12/11/2000, AL-12/15/2000, AR-12/08/2000, AZ-04/09/1997, CA-12/29/2000, CO-12/11/2000, CT-08/15/1997, DC-04/25/1997, DE-06/30/2003, FL-04/30/1997, GA-03/03/1997, HI-08/18/1997, IA-01/01/1999, ID-12/07/2000, IL-02/04/1986, IN-05/30/2001, KS-12/07/2000, KY-12/21/2000, LA-10/18/2001, MA-12/18/2000, MD-12/11/2000, ME-02/15/2001, MI-11/19/1997, MN-04/04/1997, MO-12/07/2000, MS-12/07/2000, MT-01/01/1998, NC-01/12/2001, ND-09/22/2001, NE-04/28/1997, NH-12/07/2000, NJ-07/13/1995, NM-12/11/2000, NV-12/07/2000, NY-07/21/1997, OH-09/24/1999, OK-02/28/2001, OR-08/09/2002, PA-12/18/2000, PR-12/07/2000, RI-01/01/1998, SC-08/07/2002, SD-01/09/1984, TN-01/01/2001, TX-04/30/1997, UT-12/07/2000, VA-12/20/2000, VI-04/11/2019, VT-12/07/2000, WA-04/01/1997, WI-02/27/1984, WV-12/07/2000, WY-04/11/2019 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
OTHER ACTIVITIES |
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV