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RBC SECURITIES, INC.
CRD 103705File 801-71181
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.52B
Above cohort median (national)
Discretionary AUM
$1.52B
Clients
1,451
1,781 accounts
Employees
186
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Mar 22, 2010
- Principal office
- 555 SOUTH FLOWER STREET, 11TH FLOOR, LOS ANGELES, CA, 90071
- Phone
- 310-888-6400
- Website
- http://www.cnr.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.52B
- Discretionary AUM
- $1.52B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,781
- Non-discretionary accounts
- 0
- Total accounts
- 1,781
- AUM per client
- $1.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 82 | $161.9M |
| Charitable organizations | 25 | $89.4M |
| High net worth individuals | 337 | $814.3M |
| Pension and profit sharing plans | 52 | $77.7M |
| Individuals (other than high net worth individuals) | 955 | $371.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — MUTUAL FUND FEES, BROKER FEES & TRANSACTION FEES
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11G
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11D5
- Q11E2
- Q11E4
- Q11H1A
- Q11H1B
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Feb 1, 2026 | Employees | 78 | 186 | increased by108 |
| Feb 1, 2026 | Clients | 1,638 | 1,451 | decreased by187 |
| Feb 1, 2026 | AUM | $1,591,349,877 | $1,515,102,638 | decreased by$76,247,239 |
| Feb 1, 2026 | Accounts | 2,004 | 1,781 | decreased by223 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 37 | 78 | increased by41 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,082 | 1,638 | decreased by444 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,618,609,297 | $1,591,349,877 | decreased by$27,259,420 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,082 | 2,004 | decreased by78 |
| Feb 1, 2022 | Employees | 53 | 37 | decreased by16 |
| Feb 1, 2022 | Clients | 1,898 | 2,082 | increased by184 |
| Feb 1, 2022 | AUM | $1,388,494,847 | $1,618,609,297 | increased by$230,114,450 |
| Feb 1, 2022 | Accounts | 1,898 | 2,082 | increased by184 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “RBC SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RBC SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.