Rbc Rochdale, LLC
Registered investment adviser · New York, NY · CRD #117198
Form ADV data as of 2026-09-01Regulatory assets
$72.96 billion
Total accounts
42,770
Employees
269
Disclosure events
8
Firm details
- Website: https://www.facebook.com/rbcrochdale/
- Telephone: 212-702-3500
- SEC file number: 801-27265
- Most recent Form ADV filing: 2026-07-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 6 disclosure questions answered Yes, covering 8 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a false statement or omission
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $72.84 billion |
| Non-discretionary regulatory assets under management | $117.2 million |
| Total regulatory assets under management | $72.96 billion |
| Discretionary accounts | 42,649 |
| Non-discretionary accounts | 121 |
| Total accounts | 42,770 |
| Regulatory assets under management attributable to non-U.S. persons | $36.6 million |
People
| Total employees (excluding clerical) | 269 |
| Employees performing investment advisory functions (including research) | 138 |
| Employees who are registered representatives of a broker-dealer | 146 |
| Employees registered as investment adviser representatives with a state | 122 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $25.26 billion |
| Clients for whom a related person has custody | 2,937 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 391 | $153.0 million |
| High net worth individuals | 15,779 | $49.90 billion |
| Investment companies | 6 | $11.43 billion |
| Pension and profit sharing plans (not the participants or government plans) | 180 | $956.6 million |
| Charitable organizations | 122 | $2.06 billion |
| State or municipal government entities (including government pension plans) | 1 | $573.3 million |
| Corporations or other businesses not listed above | 575 | $7.89 billion |