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SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/rbc-capital-markets-llc-new-york-ny-31194", "display_name": "RBC Capital Markets, LLC", "summary": "RBC Capital Markets, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 1977, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.", "citation": "AdvisorCensus. RBC Capital Markets, LLC (CRD 31194): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops", "Other" ], "quick_answers": [ { "q": "How is RBC Capital Markets, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), RBC Capital Markets, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is RBC Capital Markets, LLC located?", "a": "RBC Capital Markets, LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 25 other offices (Schedule D, Section 1.F)." }, { "q": "Is RBC Capital Markets, LLC registered with the SEC or a state?", "a": "RBC Capital Markets, LLC is an SEC-registered investment advisory firm, registered since 1977. Status as filed: Approved. CRD 31194." }, { "q": "How much does RBC Capital Markets, LLC manage?", "a": "RBC Capital Markets, LLC reports $310,428,968,904 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (76% discretionary)." }, { "q": "How have RBC Capital Markets, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for RBC Capital Markets, LLC: Regulatory assets under management: $146,593,034,210 in the October 2021 data and $310,428,968,904 in the October 2026 data, up 112%. Total employees: 7,859 in October 2021 and 8,781 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does RBC Capital Markets, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (263,588); high net worth individuals (12,350); corporations or other businesses not listed above (3,071)." }, { "q": "Does RBC Capital Markets, LLC report any disciplinary disclosures?", "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(1), 11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/31194" }, { "q": "What changed in RBC Capital Markets, LLC's recent Form ADV filings?", "a": "In the June 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 146593034210.0, "total_employees": 7859, "filing_date": "2021-09-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 201164001482.0, "total_employees": 7825, "filing_date": "2022-09-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 183480849974.0, "total_employees": 8094, "filing_date": "2023-09-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": 201263931084.0, "total_employees": 8204, "filing_date": "2024-09-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 259962335074.0, "total_employees": 8476, "filing_date": "2025-06-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 310428968904.0, "total_employees": 8781, "filing_date": "2026-09-30" } ], "recent_changes": [ { "period": "2026-06-01", "period_label": "June 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Item 11 disclosure answers changed: 8 yes answers, previously 9 (now no: 11.E(4)).", "Employees performing advisory functions went from 5680 to 5908.", "Regulatory assets under management went from $259,962,335,074 to $310,428,968,904 (+19%).", "Added an office in Houston, TX.", "Added an office in Indianapolis, IN.", "Added an office in Syracuse, NY.", "Added an office in Wayzata, MN.", "No longer lists an office in Milwaukee, WI.", "No longer lists an office in Palm Beach Gardens, FL.", "No longer lists an office in St. Petersburg, FL.", "No longer lists an office in Washington, DC." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/rbc-capital-markets-llc-new-york-ny-31194.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 263588, "fewer_than_5": false, "raum": 182247279546.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 12350, "fewer_than_5": false, "raum": 98498809440.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 7, "fewer_than_5": false, "raum": 55561030.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 17, "fewer_than_5": false, "raum": 651533555.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 2335, "fewer_than_5": false, "raum": 2670518609.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 2222, "fewer_than_5": false, "raum": 10797612893.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 215, "fewer_than_5": false, "raum": 1243218500.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 105, "fewer_than_5": false, "raum": 445270565.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 3071, "fewer_than_5": false, "raum": 13819164766.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/31194", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }