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 Securities, Inc.
Los Angeles, CA
CRD 103705
Firm filing updated September 18, 2026 ·
- $1.5BAssets
- 1,451Clients
- 124Advisory staff
- 1,781Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- OtherYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- Individuals955
- High net worth individuals337
- Corporations or other businesses82
- Pension and profit sharing plans52
- Charities25
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 955 | $371.8 million |
| High net worth individuals | 337 | $814.3 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 52 | $77.7 million |
| Charitable organizations | 25 | $89.4 million |
| Corporations or other businesses not listed above | 82 | $161.9 million |
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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$1.5 billion
- Accounts1,781
- DiscretionaryAll accounts
People
- Employees186
- Advisory staff124
- Broker-dealer reps183
- Licensed insurance agents0
- Planning clients101 to 250
Advisors
82 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 103705, SEC file 801-71181.
- Registered with the SEC as an investment advisor (status date on record: March 22, 2010).
Is RBC Securities, Inc. a fiduciary?
Short answer: RBC Securities, Inc. is registered with the SEC as an investment advisor. 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.
More detail
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: 183 staff are broker-dealer representatives, the firm is itself a broker-dealer 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'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.