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RBC CAPITAL MARKETS, LLC
CRD 31194File 801-13059
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Feb 1, 2026 | Employees | 8,476 | 8,781 | increased by305 |
| Feb 1, 2026 | Clients | 293,703 | 283,910 | decreased by9,793 |
| Feb 1, 2026 | AUM | $259,962,335,074 | $310,428,968,904 | increased by$50,466,633,830 |
| Feb 1, 2026 | Accounts | 477,674 | 511,871 | increased by34,197 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7,825 | 8,476 | increased by651 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 230,840 | 293,703 | increased by62,863 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $201,164,001,482 | $259,962,335,074 | increased by$58,798,333,592 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 395,275 | 477,674 | increased by82,399 |
| Feb 1, 2022 | Employees | 7,859 | 7,825 | decreased by34 |
| Feb 1, 2022 | Clients | 206,034 | 230,840 | increased by24,806 |
| Feb 1, 2022 | AUM | $146,593,034,210 | $201,164,001,482 | increased by$54,570,967,272 |
| Feb 1, 2022 | Accounts | 350,883 | 395,275 | increased by44,392 |
| 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 CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RBC CAPITAL” 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.