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RBC ROCHDALE, LLC
CRD 117198File 801-27265
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 10, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$72.96B
Top 10% of cohort (national)
Discretionary AUM
$72.84B
Non-discretionary $117.2M
Clients
17,054
42,770 accounts
Employees
269
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 20, 1986
- Principal office
- 400 PARK AVENUE, 10TH FLOOR, NEW YORK, NY, 10022
- Phone
- 212-702-3500
- Website
- HTTPS://WWW.RBCROCHDALE.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $72.96B
- Discretionary AUM
- $72.84B
- Non-discretionary AUM
- $117.2M
- Discretionary accounts
- 42,649
- Non-discretionary accounts
- 121
- Total accounts
- 42,770
- AUM per client
- $4.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 575 | $7.89B |
| Investment companies | 6 | $11.43B |
| Charitable organizations | 122 | $2.06B |
| High net worth individuals | 15,779 | $49.90B |
| Pension and profit sharing plans | 180 | $956.6M |
| State or municipal government entities | Fewer than 5 | $573.3M |
| Individuals (other than high net worth individuals) | 391 | $153.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- 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
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 1, 2026 | Accounts | 42,671 | 42,770 | increased by99 |
| Feb 1, 2026 | Employees | 235 | 269 | increased by34 |
| Feb 1, 2026 | Clients | 16,838 | 17,054 | increased by216 |
| Feb 1, 2026 | AUM | $68,177,828,012 | $72,960,498,578 | increased by$4,782,670,566 |
| Feb 1, 2026 | Accounts | 41,300 | 42,671 | increased by1,371 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 305 | 235 | decreased by70 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 16,726 | 16,838 | increased by112 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $58,030,000,000 | $68,177,828,012 | increased by$10,147,828,012 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 39,176 | 41,300 | increased by2,124 |
| Feb 1, 2022 | Employees | 315 | 305 | decreased by10 |
| Feb 1, 2022 | Clients | 16,130 | 16,726 | increased by596 |
| Feb 1, 2022 | AUM | $45,778,000,000 | $58,030,000,000 | increased by$12,252,000,000 |
| Feb 1, 2022 | Accounts | 35,889 | 39,176 | increased by3,287 |
| 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 ROCHDALE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RBC ROCHDALE” 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.