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RBC ROCHDALE, LLC
CRD 117198File 801-27265
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 31, 2026
Feed vintage Aug 17, 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
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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.