RBC Rochdale, LLC

• A percentage of assets under your management
• Fixed fees (other than subscription fees)

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated May 28, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$72,960,498,578 as of October 2026, filing dated September 10, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Portfolio management for individuals and/or small businesses
• Portfolio management for investment companies (and business development companies)
• Portfolio management for pooled investment vehicles (other than investment companies)
• Portfolio management for businesses (other than small businesses) or institutional clients
• Selection of other advisers (including private fund managers)

Also doing business as

RBC ROCHDALE

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

1986 (40 years)

Employees

Total: 269. Performing investment advisory functions: 138.

Wrap fee program participation

Yes.

Custodians (Schedule D, Section 5.K(3))

Assetmark Brokerage, LLCCity National Bank · affiliatedPershing LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

10 other offices, as of the October 2026 filing

Beverly Hills, CAChicago, ILHouston, TXIrvine, CALa Jolla, CALake Mary, FLLimerick, PAPasadena, CARichmond, VASan Francisco, CA

States registered or notice-filed

53 states or jurisdictions

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SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

6 Reports 6 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(1) Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) 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?
• 11.D(2) 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?
• 11.D(4) 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $45,778,000,000 in the October 2021 data and $72,960,498,578 in the October 2026 data, up 59%.

Total employees: 315 in October 2021 and 269 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. October 2026
   • Updated its list of owners and control persons (Schedule A).
2. August 2026
   • Changed its office addresses in Houston, TX.
   • Changed its office addresses in Pasadena, CA.
   • No longer lists an office in Spring, TX.
   • Updated its list of owners and control persons (Schedule A).
3. June 2026
   • Updated its list of owners and control persons (Schedule A).
4. April 2026
   • Updated its list of owners and control persons (Schedule A).
5. February 2026
   • No longer lists the business name City National Rochdale.
   • Added the business name RBC Rochdale.
   • Changed its legal name from City National Rochdale, LLC to RBC Rochdale, LLC.
   • Employees performing advisory functions went from 126 to 138.
   • Added an office in Spring, TX.
   • Updated its list of owners and control persons (Schedule A).

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.