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RBC CAPITAL MARKETS, LLC
CRD 31194File 801-13059
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 3, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$310.43B
Top 10% of cohort (national)
Discretionary AUM
$235.35B
Non-discretionary $75.08B
Clients
283,910
511,871 accounts
Employees
8,781
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 2, 1977
- Principal office
- 200 VESEY ST., NEW YORK, NY, 10281
- Phone
- 212-858-7000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $310.43B
- Discretionary AUM
- $235.35B
- Non-discretionary AUM
- $75.08B
- Discretionary accounts
- 417,652
- Non-discretionary accounts
- 94,219
- Total accounts
- 511,871
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 3,071 | $13.82B |
| Insurance companies | 105 | $445.3M |
| Charitable organizations | 2,222 | $10.80B |
| High net worth individuals | 12,350 | $98.50B |
| Pooled investment vehicles | 17 | $651.5M |
| Banking or thrift institutions | 7 | $55.6M |
| Pension and profit sharing plans | 2,335 | $2.67B |
| State or municipal government entities | 215 | $1.24B |
| Individuals (other than high net worth individuals) | 263,588 | $182.25B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C3
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E2
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.