SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
RBC Rochdale, LLC
New York, NY
CRD 117198
Firm filing updated September 10, 2026 ·
- $73BAssets
- 138Advisory staff
- 42,770Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals15,779
- Corporations or other businesses575
- Individuals391
- Pension and profit sharing plans180
- Charities122
- and 1 more6
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 391 | $153.0 million |
| High net worth individuals | 15,779 | $49.9 billion |
| Investment companies | 6 | $11.4 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 180 | $956.6 million |
| Charitable organizations | 122 | $2.1 billion |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $573.3 million |
| Corporations or other businesses not listed above | 575 | $7.9 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 5 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$73.0 billion
- Accounts42,770
- Discretionary$72.8 billion · 42,649 accounts
- Non-discretionary$117.2 million · 121 accounts
People
- Employees269
- Advisory staff138
- Broker-dealer reps146
- Licensed insurance agents0
- Planning clients0
Advisors
76 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 117198, SEC file 801-27265.
- Registered with the SEC as an investment advisor (status date on record: June 20, 1986).
Is RBC Rochdale, LLC a fiduciary?
Short answer: RBC Rochdale, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 146 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.