Hedge Fund Database

RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.

Adviser information for RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. last updated from Form ADV on February 22nd, 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 Corporation
Fiscal Year End OCTOBER
Legal Location Minnesota, United States

Employees

Total Number of Employees 195
Investment Advisory/Research 51
Registered Broker-Dealer Representatives 55
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 3

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 272 $79.9B
Non-Discretionary 0 $0
Total 272 $79.9B

Clients

Type Number RAUM
Individuals 59 $43.7M
HNW Individuals <5 $25.4M
Banking or thrift institutions <5 $107.2M
Investment companies 17 $19.1B
Business development companies 0 $0
Pooled investment vehicles 63 $36.4B
Pension and profit sharing plans 28 $4.6B
Charitable organizations 5 $124.6M
State or municipal gov entities 28 $7.7B
Other investment advisers <5 $0
Insurance companies 2 $699.8M
Sovereign wealth funds and foreign official institutions <5 $771.0M
Corporations or other businesses 36 $10.3B
Other 0 $0
Type Number
No. of Non-RAUM Clients 6
No. of Non-U.S. Clients 30
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)INVESTMENT MANAGEMENT THROUGH SPONSORED WRAP PROGRAMS
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 43.7M
Both for Same 0
Portfolio Manager to Program Sponsor
CONSULTING SOLUTIONS RBC CAPITAL MARKETS, LLC

Identifiers

SEC RIA File Number 801-20303
SEC ERA File Number 801-20303
SEC CIK Numbers None
SEC CRD Numbers 107173
Legal Entity Identifier 5493001UKNGG52025J43

Principal Office

50 SOUTH SIXTH STREET
SUITE 2350
MINNEAPOLIS
MN
United States
Monday - Friday, 8 A.M. TO 4:30 P.M.
Tel: 612-376-7000, Fax: 612-376-7005

Websites

www.linkedin.com/company/rbc-global-asset-management/ www.rbcgam.com/ twitter.com/rbcgamnews

Chief Compliance Officer

CHRISTINA M. WEBER
CHIEF COMPLIANCE OFFICER
50 SOUTH SIXTH STREET
SUITE 2350
MINNEAPOLIS
MN
United States
Tel: 612-376-7076
Fax: 866-315-1134
(Full email address available in API data)

Regulatory Contact

JOSH BROWN
COMPLIANCE MANAGER
50 SOUTH SIXTH STREET
SUITE 2350
MINNEAPOLIS
MN
United States
Tel: 612-376-7172
(Full email address available in API data)

Industry Affiliates

BLUEBAY FUNDS MANAGEMENT COMPANY S.A. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
CITY NATIONAL ROCHDALE Other investment adviser, including financial planners
RBC CAPITAL MARKETS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorFutures commission merchantInsurance company or agencyPension consultant
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED Other investment adviser, including financial planners
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED Other investment adviser, including financial planners
RBC GLOBAL ASSET MANAGEMENT INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
ROYAL BANK OF CANADA Registered security-based swap dealerBanking or thrift institution

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
BBAM US CLO I, LTD. Securitized Asset Fund $416.5M $0.3M 1
BBAM US CLO II, LTD. Securitized Asset Fund $422.4M $0.3M 1
BBAM US CLO III, LTD. Securitized Asset Fund $585.9M $0.3M 1
EMERGING MARKETS EQUITY SERIES OF GLOBAL ASSET MANAGEMENT STRATEGIES, LLC DELAWARE SERIES LLC 3(C)(7) $2,376.3M $10.0M 46
FOSSIL FUEL FREE SERIES OF GLOBAL ASSET MANAGEMENT STRATEGIES, LLC DELAWARE SERIES LLC 3(C)(7) $38.3M $10.0M 4
GLOBAL EQUITY LEADERS SERIES OF GLOBAL ASSET MANAGEMENT STRATEGIES, LLC DELAWARE SERIES LLC 3(C)(7) $57.8M $10.0M 2
GLOBAL EQUITY SERIES OF GLOBAL ASSET MANAGEMENT STRATEGIES, LLC DELAWARE SERIES LLC 3(C)(7) $13.9M $10.0M 2
GLOBAL FUNDS SPC - EMERGING MARKET LONG DURATION CREDIT FUND SP Hedge Fund $100.9M $1.0M 1
GLOBAL FUNDS SPC - EMERGING MARKET SELECT BOND SP Hedge Fund $196.4M $0.1M 3
GLOBAL FUNDS SPC - TOTAL RETURN CREDIT SP OPEN ENDED DEBT FUND $468.5M $0.1M 4
INTERNATIONAL EQUITY FUND GROUP TRUST $500.7M $3.0M 37
LEO FUNDING I LIMITED Securitized Asset Fund $54.0M $50.0M 1
THE BLUEBAY GLOBAL SECURITIZED CREDIT OPPORTUNITIES (MASTER) FUND LIMITED Hedge Fund $48.7M $0.1M 7

Control Persons

Name Type Entity Title Since Ownership
ROYAL BANK OF CANADA Foreign Entity RBC USA HOLDCO CORPORATION ULTIMATE OWNER 11/2010 > 75%
LEE, MICHAEL, THOMAS Individual – DIRECTOR, CEO AND PRESIDENT 02/2004 < 5%
TIMMER, CAROL, ANN Individual – CHIEF OPERATING OFFICER 10/2008 < 5%
RBC USA HOLDCO CORPORATION Domestic Entity – DIRECT OWNER 11/2010 > 75%
WILLIAMS, DAMON, GRANT Individual – DIRECTOR 01/2013 < 5%
WEBER, CHRISTINA, MARIE Individual – CHIEF COMPLIANCE OFFICER 06/2018 < 5%
NEMANI, VIKESH Individual – DIRECTOR 04/2022 < 5%
RBC US GROUP HOLDINGS LLC Domestic Entity RBC USA HOLDCO CORPORATION DIRECT OWNER 06/2018 > 75%
CHUNG-MCLEAN, YONETTE, BEVERLY Individual – DIRECTOR 08/2019 < 5%
MOONSAMMY, BYRN, N Individual – CHIEF FINANCIAL OFFICER 11/2020 < 5%
SKIBA, WLODZIMIERZ, ANDRZEJ Individual – DIRECTOR 11/2021 < 5%

No. Employees, Historic

30015002019202020212022202320242025173 on 4/11/2019173 on 10/9/2019173 on 10/9/2019173 on 10/11/2019173 on 11/4/2019173 on 1/29/2020173 on 2/24/2020173 on 4/27/2020173 on 5/8/2020173 on 5/18/2020173 on 6/24/2020173 on 6/24/2020173 on 6/25/2020173 on 11/23/2020173 on 1/28/2021173 on 1/29/2021173 on 7/19/2021173 on 11/30/2021194 on 1/28/2022194 on 4/25/2022194 on 4/26/2022205 on 1/20/2023205 on 1/23/2023205 on 2/22/2023205 on 5/4/2023205 on 5/5/2023205 on 11/8/2023195 on 1/29/2024195 on 1/30/2024195 on 2/22/2024

RAUM, Historic

80B40B0201920202021202220232024202532350129633 on 4/11/201932350129633 on 10/9/201932350129633 on 10/9/201932350129633 on 10/11/201932350129633 on 11/4/201940041971809 on 1/29/202040041971809 on 2/24/202040041971809 on 4/27/202040041971809 on 5/8/202040041971809 on 5/18/202040041971809 on 6/24/202040041971809 on 6/24/202040041971809 on 6/25/202040041971809 on 11/23/202056457085991 on 1/28/202156457085991 on 1/29/202156457085991 on 7/19/202156457085991 on 11/30/202157525542651 on 1/28/202257525542651 on 4/25/202257525542651 on 4/26/202238022283496 on 1/20/202338022283496 on 1/23/202338022283496 on 2/22/202338022283496 on 5/4/202338022283496 on 5/5/202338022283496 on 11/8/202379907945932 on 1/29/202479907945932 on 1/30/202479907945932 on 2/22/2024

No. Clients, Historic

40020002019202020212022202320242025381 on 4/11/2019381 on 10/9/2019381 on 10/9/2019381 on 10/11/2019381 on 11/4/2019179 on 1/29/2020179 on 2/24/2020179 on 4/27/2020179 on 5/8/2020179 on 5/18/2020179 on 6/24/2020179 on 6/24/2020179 on 6/25/2020179 on 11/23/2020179 on 1/28/2021179 on 1/29/2021179 on 7/19/2021179 on 11/30/2021169 on 1/28/2022169 on 4/25/2022169 on 4/26/2022173 on 1/20/2023173 on 1/23/2023173 on 2/22/2023173 on 5/4/2023173 on 5/5/2023173 on 11/8/2023244 on 1/29/2024244 on 1/30/2024244 on 2/22/2024