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FIRM PROFILE
Assets Under Management:
$ 201,263,931,084
Clients per Registered Employee:
122
Total Number of Employees:
8,204
Clients per Employee:
30
Total Number of Individual Clients:
243,146
Total Number of HNWI Clients:
6,688
Average Individual Client Account Size:
$ 546,799
Average HNWI Account Size:
$ 7,108,690
Overview
RBC CAPITAL MARKETS, LLC is located at 3 World Financial Center 200 Vesey St., New York, NY 10281 and was first established at New York, Minnesota in 11/01/2010. After operating for 13 years, RBC CAPITAL MARKETS, LLC has amassed assets under management in the amount of $201,263,931,084 spanning over 249,834 clients at the firm. A breakdown of these figures indicates that 97% of RBC CAPITAL MARKETS, LLC’s clients are individuals and 3% of their clients are high net worth individuals. RBC CAPITAL MARKETS, LLC has 8,204 total employees and of those employees, 2,042 can be registered with one or both FINRA and the SEC. 25% percentage at RBC CAPITAL MARKETS, LLC are registered to handle securities or provide financial advice. The firm has 484 disclosures, 361 being regulatory events, 9 being client events, and 114 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access RBC CAPITAL MARKETS, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at RBC CAPITAL MARKETS, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Crafted using large generative AI models
Where the Statistical Data for RBC CAPITAL MARKETS, LLC Comes From
Understanding the Statistics for RBC CAPITAL MARKETS, LLC and How They Compare to Other Firms Through Our Analysis
Average Account Value
Breakdown of Assets Under Management
Total Client Assets:
$ 180,494,994,373
Employees
30 Clients per Employee
Clients
Firm Disclosures
FIRM INFORMATION
3 World Financial Center 200 Vesey St., New York, NY, 10281
250 Nicollet Mall Suite 1600, Minneapolis, MN, 55401
Large
(612) 371-2811
Minnesota since 11/01/2010
Limited Liability Company
October
8,204
Proprietary Interest in Client Transactions
A. Do you or any related person:
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)? YES
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients? YES
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A.(1) or (2))? YES
Sales Interest in Client Transactions
B. Do you or any related person:
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions)? NO
(2) recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for which you or any related person serves as underwriter or general or managing partner? YES
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)? YES
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the:
(1) securities to be bought or sold for a client's account? YES
(2) amount of securities to be bought or sold for a client's account? YES
(3) broker or dealer to be used for a purchase or sale of securities for a client's account? YES
(4) commission rates to be paid to a broker or dealer for a client's securities transactions? YES
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons? YES
E. Do you or any related person recommend brokers or dealers to clients? YES
F. If you answer "yes" to E. above, are any of the brokers or dealers related persons? YES
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions? NO
G. (2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934? NO
H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals? YES
H. (2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for the firm (cash or non-cash compensation in addition to the employee's regular salary)? YES
I. Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related person) for client referrals? YES
A. (1) Do you have custody of any advisory clients':
(a) cash or bank accounts? YES
(b) securities? YES
(2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you have custody:
(a) U.S. Dollar Amount $ 200,827,757,915
(b) Total Number of Clients 257,265
B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients':
(a) cash or bank accounts? YES
(b) securities? YES
(2) If you checked "yes" to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which your related persons have custody:
(a) U.S. Dollar Amount $ 1
(b) Total Number of Clients
C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following that apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage. NO
(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools. NO
(3) An independent public accountant conducts an annual surprise examination of client funds and securities. YES
(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities. YES
D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients?
(1) you act as a qualified custodian YES
(2) your related person(s) act as qualified custodian(s) YES
E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (MM/YYYY) the examination commenced: 2023-06
F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with advisory services you provide to clients? 17
FIRM DOCUMENTS
Part 2 Brochures
Accountant Surprise Examination Report
| Accounting Firm Name | Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|---|
| PRICEWATERHOUSECOOPERS LLP | 09/14/2023 | ||
| PRICEWATERHOUSECOOPERS LLP | 08/16/2022 | ||
| PRICEWATERHOUSECOOPERS LLP | 09/01/2021 |
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | 11/2010 | |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 04/2016 | 2429425 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER & CHAIRMAN OF THE BOARD | 05/2015 | 5726613 |
| KACHENOURA, AHMED | HEAD, GLOBAL EQUITIES, RBC CAPITAL MARKETS | 08/2016 | 4825331 |
| THORNE, BRETT LANE | HEAD, CORRESPONDENT AND ADVISOR SERVICES | 08/2016 | 2523268 |
| MURPHY, THOMAS N | HEAD, US CM OPERATIONS | 10/2016 | 4519183 |
| SMALL, ANDREW CHRISTOPHER | SVP, CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 02/2019 | 3068715 |
| STOPNIK, MATTHEW ROSS | CO-HEAD, US INVESTMENT BANKING | 11/2018 | 2580834 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 04/2020 | 5736294 |
| PENN, JOHN CHRISTOPHER | U.S. CAPITAL MARKETS GENERAL COUNSEL | 12/2021 | 5135403 |
| BUCHERT, TAMMY JEAN | WEALTH MANAGEMENT-U.S. CHIEF ADMINISTRATIVE OFFICER AND INTERIM PRINCIPAL OPERATIONS OFFICER | 03/2022 | 2898919 |
| SENNE, ANN MARIE | DIRECTOR | 06/2022 | 2515669 |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 07/2022 | 4718504 |
| TAYLOR, SUZANNE MARIE | CHIEF COMPLIANCE OFFICER OF WM-US' REGISTERED INVESTMENT ADVISOR | 07/2022 | 4682020 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 10/2022 | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 10/2022 | 4974723 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 12/2022 | 5570750 |
