RBC CAPITAL MARKETS, LLC
Adviser information for RBC CAPITAL MARKETS, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
---|---|
Fiscal Year End | OCTOBER |
Legal Location | Minnesota, United States |
Employees
Total Number of Employees | 8204 |
---|---|
Investment Advisory/Research | 2042 |
Registered Broker-Dealer Representatives | 6064 |
Registered State Investment Advisers | 3509 |
Licensed Agents of an Insurance Company | 2433 |
No. of Firms/People that Solicit Clients | 35 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 357,936 | $148.3B |
Non-Discretionary | 93,468 | $53.0B |
Total | 451,404 | $201.3B |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 243,146 | $133.0B |
HNW Individuals | 6,688 | $47.5B |
Banking or thrift institutions | 9 | $35.6M |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 18 | $464.2M |
Pension and profit sharing plans | 2,315 | $1.9B |
Charitable organizations | 2,016 | $7.7B |
State or municipal gov entities | 223 | $1.1B |
Other investment advisers | 2 | $23.0M |
Insurance companies | 125 | $319.2M |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 2,798 | $9.3B |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 1799 |
No. of Non-U.S. Clients | 1 |
No. of Financial Planning Clients | 26-50 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsSERVICE PUBLIC & PRIVATE EMPLOYEE BENEFIT PLANS, ENDOWMENT FUNDS, FOUNDATIONS, FAMILY TRUSTS & VARIOUS CAPITAL/OPERATING FUNDS |
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Compensation | % of AUMFixed fees |
Other Business Activities | Broker-dealerFutures commission merchantInsurance broker or agentRegistered municipal advisor |
Wrap Fee Program
Offers Wrap Fee Program | Yes |
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Acting As | RAUM |
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Sponsor | 53.0B |
Portfolio Manager | 0 |
Both for Same | 148.3B |
Portfolio Manager to Program | Sponsor |
---|---|
RBC UNIFIED PORTFOLIO | RBC CAPITAL MARKETS, LLC |
PORTFOLIO FOCUS | RBC CAPITAL MARKETS, LLC |
Identifiers
SEC RIA File Number | 801-13059 |
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SEC ERA File Number | 801-13059 |
SEC CIK Numbers | None |
SEC CRD Numbers | 31194 |
Legal Entity Identifier | 549300LCO2FLSSVFFR64 |
Principal Office
200 VESEY ST.NEW YORK
NY
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 212-858-7000, Fax: None
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Chief Compliance Officer
SUZANNE TAYLOR
CHIEF COMPLIANCE OFFICER OF WM-US REGISTERED INVESTMENT ADVISOR
250 NICOLLET MALL
MINNEAPOLIS
MN
United States
Tel:
612-371-7852
S*************@******M
(Full email address available in API data)
Regulatory Contact
SUSAN MARKUNAS
HEAD OF SECURITIES LICENSING & REGISTRATION
30 HUDSON STREET
JERSEY CITY
NJ
United States
Tel:
212-299-9813
S*************@********M
(Full email address available in API data)
Industry Affiliates
CITY NATIONAL BANK | Banking or thrift institution |
CITY NATIONAL ROCHDALE | Other investment adviser, including financial planners |
RBC BANK (GEORGIA), N.A. | Banking or thrift institution |
RBC CMA LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
RBC DOMINION SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
RBC EUROPE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
RBC INVESTOR SERVICES TRUST | Trust company |
RBC MUNICIPAL PRODUCTS, LLC | Sponsor, GP, manager of pooled investment vehicles |
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC. | Other investment adviser, including financial planners |
RBC PRIVATE COUNSEL (USA) INC. | Other investment adviser, including financial planners |
RBC SECURITIES AUSTRALIA PTY LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
RBC TAX CREDIT EQUITY, LLC | Sponsor or syndicator of limited partnerships |
RBC TRUST COMPANY (DELAWARE) LIMITED | Trust companyPension consultant |
ROYAL BANK OF CANADA | Registered security-based swap dealerBanking or thrift institution |
ROYAL BANK OF CANADA (CHANNEL ISLANDS) LIMITED | Banking or thrift institutionTrust company |
TCA TRUSTCORP AMERICA | Trust company |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
ROYAL BANK OF CANADA | Foreign Entity | RBC US GROUP HOLDINGS LLC | ULTIMATE OWNER | 11/2010 | > 75% |
RBC USA HOLDCO CORPORATION | Domestic Entity | – | DIRECT OWNER | 11/2010 | > 75% |
SAGISSOR, THOMAS STEVEN | Individual | – | PRESIDENT OF RBC WEALTH MANAGEMENT | 04/2016 | < 5% |
THURLOW, JOHN J | Individual | – | CHIEF OPERATING OFFICER & CHAIRMAN OF THE BOARD | 05/2015 | < 5% |
KACHENOURA, AHMED | Individual | – | HEAD, GLOBAL EQUITIES, RBC CAPITAL MARKETS | 08/2016 | < 5% |
THORNE, BRETT LANE | Individual | – | HEAD, CORRESPONDENT AND ADVISOR SERVICES | 08/2016 | < 5% |
MURPHY, THOMAS N | Individual | – | HEAD, US CM OPERATIONS | 10/2016 | < 5% |
SMALL, ANDREW CHRISTOPHER | Individual | – | SVP, CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 02/2019 | < 5% |
RBC US GROUP HOLDINGS LLC | Domestic Entity | RBC USA HOLDCO CORPORATION | INDIRECT OWNER | 06/2018 | > 75% |
STOPNIK, MATTHEW ROSS | Individual | – | CO-HEAD, US INVESTMENT BANKING | 11/2018 | < 5% |
GIEGERICH, ROBERT ARTHUR | Individual | – | PRINCIPAL FINANCIAL OFFICER | 04/2020 | < 5% |
PENN, JOHN CHRISTOPHER | Individual | – | U.S. CAPITAL MARKETS GENERAL COUNSEL | 12/2021 | < 5% |
BUCHERT, TAMMY JEAN | Individual | – | WEALTH MANAGEMENT-U.S. CHIEF ADMINISTRATIVE OFFICER AND INTERIM PRINCIPAL OPERATIONS OFFICER | 03/2022 | < 5% |
SENNE, ANN MARIE | Individual | – | DIRECTOR | 06/2022 | < 5% |
CARLESIMO, PAUL ADAM | Individual | – | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 07/2022 | < 5% |
TAYLOR, SUZANNE MARIE | Individual | – | CHIEF COMPLIANCE OFFICER OF WM-US' REGISTERED INVESTMENT ADVISOR | 07/2022 | < 5% |
GLASSMAN, DORJE TSERING | Individual | – | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 10/2022 | < 5% |
LISCHIN, MATTHEW CODY | Individual | – | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 10/2022 | < 5% |
ESPENAK, KRISTEN ELIZABETH | Individual | – | CHIEF RISK OFFICER, USA | 12/2022 | < 5% |