Broker-dealer firm · LOS Angeles, CA
RBC Securities, Inc.
SEC-registered investment adviser · CRD 103705 · SEC 801-71181
At a glance
RBC Securities, Inc. is an SEC-registered investment adviser based in LOS Angeles, California, with $1.5 billion in regulatory assets under management as of its Form ADV filed September 18, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,292 individual clients. By Form ADV it is a broker-dealer firm, ranked 146th of 391 broker-dealer firms and 4,239th of 17,210 SEC-registered advisers by assets.
Main office 310-888-6400As filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among broker-dealer firms
- #146 of 391
- Rank among all SEC RIAs
- #4,239 of 17,210
- Rank in California
- #489 of 1,873
- Individual clients
- 1,292
- High-net-worth clients
- 337
- Accounts
- 1,781
- Discretionary
- 100% of AUM
- Employees
- 186
- Advisory staff
- 124
- Offices
- 25
Owners and executives on its Form ADV
- Santiago Avila BretadoVP & Chief Financial Officer
- Richard Joseph BartonChief Compliance Officer
- Ivor Patrick O'KeeffeChief Operating Officer & Board Director
- Gregg GiaquintoBoard Director
- Shawn David RileyBoard Director
- Joby Swankutty DanielBoard Director
- William John Jr MaguirePresident, Chief Executive Officer & Board Director
- Brandon WilliamsChairman of the Board
Custody and brokerage
Broker-dealer
Hybrid RIA
RBC Securities, Inc. is a hybrid RIA: 183 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: CNR Securities LLC.
- 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
Its Form ADV brochure (filed May 2026) names RBC Securities as the broker-dealer its advisers are registered with.
Every Advisor will be a Registered Representative of RBCS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 337 | $814M | 54% |
| Individuals | 955 | $372M | 25% |
| Corporations or other businesses | 82 | $162M | 11% |
| Charitable organizations | 25 | $89M | 6% |
| Pension and profit sharing plans | 52 | $78M | 5% |
Disciplinary disclosures
RBC Securities, Inc. answers yes to 38 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
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on RBC Securities, Inc.
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 118 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
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does RBC Securities, Inc. manage?
RBC Securities, Inc. reports $1.5 billion in regulatory assets under management across 1,781 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 18, 2026.
What kind of firm is RBC Securities, Inc.?
RBC Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are RBC Securities, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($814 million, 337 clients); individuals ($372 million, 955 clients); corporations or other businesses ($162 million, 82 clients).
Does RBC Securities, Inc. have any disciplinary history?
RBC Securities, Inc. answers yes to 38 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 Securities, Inc.’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 (2026-09-18), 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 →