CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE, LLC Legal Name
Adviser information for CITY NATIONAL ROCHDALE last updated from Form ADV on February 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 220 |
|---|---|
| Investment Advisory/Research | 129 |
| Registered Broker-Dealer Representatives | 152 |
| Registered State Investment Advisers | 125 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 42,911 | $60.0B |
| Non-Discretionary | 197 | $16.9M |
| Total | 43,108 | $60.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,086 | $272.6M |
| HNW Individuals | 15,584 | $38.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $11.6B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 213 | $733.5M |
| Charitable organizations | 138 | $2.0B |
| State or municipal gov entities | <5 | $420.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 664 | $6.8B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| 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) |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 8.8B |
| Portfolio Manager | 29.3B |
| Both for Same | 8.8B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CITY NATIONAL ROCHDALE WRAP FEE PROGRAM | CITY NATIONAL ROCHDALE |
Identifiers
| SEC RIA File Number | 801-27265 |
|---|---|
| SEC ERA File Number | 801-27265 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117198 |
| Legal Entity Identifier | NONE |
Principal Office
400 PARK AVENUE10TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-702-3500, Fax: 212-702-3535
Chief Compliance Officer
ROCHELLE LEVY
CHIEF COMPLIANCE OFFICER
400 PARK AVE
3RD FLOOR
NEW YORK
NY
United States
Tel:
212-702-3500
Fax:
212-702-3535
R************@******M
(Full email address available in API data)
Regulatory Contact
GREGG R. GIAQUINTO
SR. MANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS
400 PARK AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel:
212-702-3546
Fax:
212-702-3545
G**************@******M
(Full email address available in API data)
Industry Affiliates
| CITY NATIONAL BANK | Banking or thrift institution |
| CITY NATIONAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CNR SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| 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 |
| SYMPHONIC FINANCIAL ADVISORS LLC | Other investment adviser, including financial planners |
| SYMPHONIC INSURANCE LLC | Insurance company or agency |
| SYMPHONIC SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SPECIAL OPPORTUNITIES FUND LTD. | Hedge Fund | $38.8M | $0.1M | 46 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAWKESWORTH, KURT, ALEXANDER | Individual | – | SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | 10/2021 | < 5% |
| CITY NATIONAL ROCHDALE HOLDINGS, LLC. | Domestic Entity | – | MANAGING MEMBER | 05/2005 | > 75% |
| CITY NATIONAL BANK | Domestic Entity | CNR HOLDINGS, LLC | MANAGING MEMBER OF CNR HOLDINGS, LLC | 07/2012 | > 75% |
| FREEMAN, WILLIAM, JAY | Individual | – | BOARD MEMBER | 07/2012 | < 5% |
| RBC USA HOLDCO CORPORATION | Domestic Entity | CITY NATIONAL BANK | OWNER | 11/2015 | > 75% |
| ROYAL BANK OF CANADA | Foreign Entity | RBC USA HOLDCO CORPORATION | ULTIMATE OWNER | 11/2015 | > 75% |
| GALVIN, THOMAS, A | Individual | – | CHIEF INVESTMENT OFFICER | 04/2020 | < 5% |
| Levy, Rochelle, Beth | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |