RBC Securities, Inc.

• A percentage of assets under your management
• Other

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.

$1,515,102,638 as of October 2026, filing dated September 18, 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.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for businesses (other than small businesses) or institutional clients
• Selection of other advisers (including private fund managers)

Registration

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

Registered since

2010 (16 years)

Employees

Total: 186. Performing investment advisory functions: 124.

Wrap fee program participation

Yes.

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

City National Bank · affiliated

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)

21 other offices, as of the October 2026 filing

Beverly Hills, CABurlingame, CAGlendale, CAIrvine, CALa Jolla, CALa Palma, CALas Vegas, NVLos Angeles, CAMelville, NYMontecito, CANew York, NYNewport Beach, CAPasadena, CASan Francisco, CASolana Beach, CATorrance, CAWalnut Creek, CAWashington, DCWest Hollywood, CAWestlake Village, CAWoodland Hills, CA

States registered or notice-filed

31 states or jurisdictions

AKARAZCACOCTDCDEFLGAHIIDILINKSLAMAMDMNNJNVNYOHOKORPATNTXUTVAWA

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

12 Reports 12 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?
• 11.D(5) Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
• 11.E(2) 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?
• 11.E(4) Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?
• 11.G Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?

Civil court matters Item 11.H

• 11.H(1)(a) In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
• 11.H(1)(b) Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?

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: $1,388,494,847 in the October 2021 data and $1,515,102,638 in the October 2026 data, up 9%.

Total employees: 53 in October 2021 and 186 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. June 2026
   • Updated its list of owners and control persons (Schedule A).
3. February 2026
   • Changed its legal name from City National Securities, Inc. to RBC Securities, Inc..
   • Employees performing advisory functions went from 37 to 124.
   • Changed its office addresses in Beverly Hills, CA.
   • Changed its office addresses in Burlingame, CA.
   • Changed its office addresses in Glendale, CA.
   • Changed its office addresses in Las Vegas, NV.
   • Changed its office addresses in Los Angeles, CA.
   • Changed its office addresses in New York, NY.
   • Changed its office addresses in Newport Beach, CA.
   • Changed its office addresses in San Francisco, CA.
   • Changed its office addresses in Solana Beach, CA.
   • Changed its office addresses in Torrance, CA.
   • Changed its office addresses in Walnut Creek, CA.
   • Changed its office addresses in Westlake Village, CA.
   • Added an office in Irvine, CA.
   • Added an office in La Jolla, CA.
   • Added an office in La Palma, CA.
   • Added an office in Melville, NY.
   • Added an office in Montecito, CA.
   • Added an office in Pasadena, CA.
   • Added an office in Washington, DC.
   • Added an office in West Hollywood, CA.
   • Added an office in Woodland Hills, CA.
   • No longer lists an office in Burbank, CA.
   • No longer lists an office in Riverside, CA.
   • No longer lists an office in Santa Monica, CA.
   • No longer lists an office in Sherman Oaks, CA.
   • 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.