Wealth manager, bank-affiliated · New York, NY
RBC Rochdale, LLC
SEC-registered investment adviser · CRD 117198 · SEC 801-27265
At a glance
RBC Rochdale, LLC is an SEC-registered investment adviser based in New York, New York, with $73.0 billion in regulatory assets under management as of its Form ADV filed September 10, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 16,170 individual clients. By Form ADV it is a wealth manager (bank-affiliated), ranked 29th of 8,915 wealth managers and 336th of 17,210 SEC-registered advisers by assets.
Main office 212-702-3500rbcrochdale.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $73B
- Rank among wealth managers
- #29 of 8,915
- Rank among all SEC RIAs
- #336 of 17,210
- Rank in New York
- #88 of 2,591
- Individual clients
- 16,170
- High-net-worth clients
- 15,779
- Accounts
- 42,770
- Discretionary
- 100% of AUM
- Employees
- 269
- Advisory staff
- 138
- Offices
- 11
Owners and executives on its Form ADV
- Charles J. LukeChief Investment Officer
- Gregg GiaquintoPresident, CEO & Board Director
- Ivor Patrick O'KeeffeBoard Director
- Joby Swankutty DanielBoard Director
- Shawn David RileyBoard Director
- Christina M. WeberChief Compliance Officer
- Brandon WilliamsChairman of the Board
- Philip GalloBoard Director
Custody and brokerage
3 custodians
- City National BankAffiliate of the firm$25B48%
- BNY Pershing$14B27%
- Assetmark Brokerage$13B25%
Other RIAs using City National BankOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
RBC Rochdale, LLC is a hybrid RIA: 146 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: CNR Securities LLC, RBC Capital Markets, LLC and RBC Securities, Inc..
- CNR Securities LLC ↗CRD 18466
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, January 2026
- RBC Capital Markets, LLC ↗CRD 31194
- RBC Securities, Inc. ↗CRD 103705
Its Form ADV brochure (filed May 2026) names RBC Securities as the broker-dealer its advisers are registered with.
Some of RBCS’ management personnel and all of RBCS’ Advisors are registered with FINRA as registered representatives of RBCS in its capacity as a broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 15,779 | $50B | 68% |
| Investment companies | 6 | $11B | 16% |
| Corporations or other businesses | 575 | $7.9B | 11% |
| Charitable organizations | 122 | $2.1B | 3% |
| Pension and profit sharing plans | 180 | $957M | 1% |
| State or municipal government entities | 1 | $573M | <1% |
| Individuals | 391 | $153M | <1% |
Disciplinary disclosures
RBC Rochdale, LLC answers yes to 8 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗rbcrochdale.com ↗
AtlasMembers
The full record on RBC Rochdale, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 66 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does RBC Rochdale, LLC manage?
RBC Rochdale, LLC reports $73.0 billion in regulatory assets under management across 42,770 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 10, 2026.
What kind of firm is RBC Rochdale, LLC?
RBC Rochdale, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are RBC Rochdale, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($49.9 billion, 15,779 clients); investment companies ($11.4 billion, 6 clients); corporations or other businesses ($7.9 billion, 575 clients).
Does RBC Rochdale, LLC have any disciplinary history?
RBC Rochdale, LLC answers yes to 8 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is RBC Rochdale, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →