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| RBC Rochdale LLC
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|---|---|
| CRD # | 117198 |
| SEC # | 801-27265 |
| CIK # | |
| AUM | 72.96 B (2026-05-28) |
| Employees | 269 (51% Investors, 54% Brokers) |
| Phone | 212-702-3500 |
| Address | 400 Park Avenue New York, NY 10022 |
| Source | [IAPD] [Website] [Twitter] [LinkedIn] [Facebook] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| Other | Rochdale Royalty Rights Fund | [2013-03-19] | 8.0 M | 4.2 M |
| Filed 2016-06-03 (D/A) · Exemption 3(c), 3(c)(5) · Minimum $25,000 · Remaining Indefinite · Duration More than one year · Net Assets No Aggregate Net Asset Value | ||||
| HF | Diversified Opportunities Fund Ltd | [2012-03-28] | 1.3 M | 17.1 M |
| Filed 2017-07-25 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Rochdale Alternative Total Return Offshore Fund | 2012-03-28 | 8.4 M | |
| HF | Special Opportunities Fund Ltd | [2012-03-28] | 11.4 M | |
| Filed 2017-07-25 (D/A) · Exemption 506(b), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Trade Finance Income Fund Limited | [2012-03-28] | 19.3 M | 11.9 M |
| Filed 2014-07-15 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 391 | 0.2 |
| (b) Individuals (high net worth individuals) | 15,779 | 49.9 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 6 | 11.4 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 180 | 1.0 |
| (h) Charitable organizations | 122 | 2.1 |
| (i) State or municipal government entities | 1 | 0.6 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 575 | 7.9 |
| (n) Other | 0 | 0.0 |
| Total | 42,671 | 73.0 |
| By Discretionary | ||
| Discretionary | 42,649 | 72.8 |
| Non-Discretionary | 22 | 0.1 |
| Total | 42,671 | 73.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 72.9 | |
| Total | 42,671 | 73.0 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| William O'Donnell | Executive Officer | 46 | 3 | |
| Vernon Kozlen | Director | 12 | 3 | |
| Jay Nadel | Director | 20 | 2 | |
| Jon Hunt | Director | 15 | 2 | |
| James Wolford | Director | 12 | 2 | |
| Susan Jones | Executive Officer | 11 | 2 | |
| Garrett D'Alessandro | Executive Officer, Promoter | 10 | 2 | |
| Kurt Hawkesworth | Executive Officer | 10 | 2 | |
| William Sweet | Director | 10 | 2 | |
| Francesco Gozzillo | Executive Officer | 9 | 2 | |
| View All | ||||
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $4.7B |
| Serves | Institutional, Retail |
| Fund Types | Hedge Fund |
| LEI | NONE |
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