# RBC Rochdale, LLC

> RBC Rochdale, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 1986, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 10, 2026.

- CRD: 117198
- Filed as: RBC ROCHDALE, LLC
- Also doing business as: RBC ROCHDALE
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/117198
- AdvisorCensus page: https://advisorcensus.com/firm/rbc-rochdale-llc-new-york-ny-117198

## Quick answers

**How is RBC Rochdale, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), RBC Rochdale, 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.

**Where is RBC Rochdale, LLC located?**
RBC Rochdale, LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 10 other offices (Schedule D, Section 1.F).

**Is RBC Rochdale, LLC registered with the SEC or a state?**
RBC Rochdale, LLC is an SEC-registered investment advisory firm, registered since 1986. Status as filed: Approved. CRD 117198.

**How much does RBC Rochdale, LLC manage?**
RBC Rochdale, LLC reports $72,960,498,578 in regulatory assets under management in its Form ADV filing dated September 10, 2026 (100% discretionary).

**How have RBC Rochdale, LLC's assets and staff changed since 2021?**
In the Form ADV data for RBC Rochdale, LLC: 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. Assets under management move with markets as well as with clients coming and going.

**What types of clients does RBC Rochdale, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (15,779); corporations or other businesses not listed above (575); individuals (other than high net worth individuals) (391).

**Which custodians does RBC Rochdale, LLC use?**
RBC Rochdale, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Assetmark Brokerage, LLC, City National Bank (affiliated with the firm) and Pershing LLC as custodians holding 10% or more of its separately managed account assets.

**Does RBC Rochdale, LLC report any disciplinary disclosures?**
Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). 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/117198

**What changed in RBC Rochdale, LLC's recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Assetmark Brokerage, LLC
- City National Bank (affiliated with the firm)
- Pershing 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.

### Regulatory assets under management (Item 5.F)
- Total: $72,960,498,578
- Discretionary: $72,843,280,822
- Non-discretionary: $117,217,756

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 391 | $153,046,254 |
| High net worth individuals | 15,779 | $49,897,131,705 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | 6 | $11,433,150,241 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 180 | $956,638,293 |
| Charitable organizations | 122 | $2,060,058,306 |
| State or municipal government entities (including government pension plans) | 1 | $573,257,693 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | 575 | $7,887,216,086 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 1986 (40 years)
- Employees: 269 total, 138 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/117198

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Beverly Hills, CA
- Chicago, IL
- Houston, TX
- Irvine, CA
- La Jolla, CA
- Lake Mary, FL
- Limerick, PA
- Pasadena, CA
- Richmond, VA
- San Francisco, CA

### Websites listed on Form ADV (Item 1.I)
- [rbcrochdale.com](https://rbcrochdale.com)
- Facebook @RBCROCHDALE
- LinkedIn @RBC-ROCHDALE
- X @RBCROCHDALE
- YouTube @UCGY_NHFQRBYBKUKYHKUZBSQ

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $45,778,000,000 | 315 | January 30, 2021 |
| October 2022 | $58,030,000,000 | 305 | April 6, 2022 |
| October 2023 | $54,166,000,000 | 300 | May 5, 2023 |
| October 2024 | $60,065,620,722 | 220 | June 20, 2024 |
| October 2025 | $68,177,828,012 | 235 | April 24, 2025 |
| October 2026 | $72,960,498,578 | 269 | September 10, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

### 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).

### June 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Updated its list of owners and control persons (Schedule A).

### 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. RBC Rochdale, LLC (CRD 117198): Form ADV filing data as of October 2026.