|
⚲
|
| RBC Rochdale LLC
✚
|
|
|---|---|
| CRD # | 117198 |
| SEC # | 801-27265 |
| CIK # | |
| AUM | $73.0 B (2026-05-28) |
| Employees | 269 (51% Investors, 54% Brokers) |
| Phone | 212-702-3500 |
| Address | 400 Park Avenue New York, NY 10022 |
| Source | [IAPD] [Website] [Twitter] [LinkedIn] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| Other | Rochdale Royalty Rights Fund | [2013-03-19] | 8.0 | 4.2 |
| HF | Diversified Opportunities Fund Ltd | [2012-03-28] | 1.3 | 17.1 |
| HF | Rochdale Alternative Total Return Offshore Fund | 2012-03-28 | 8.4 | |
| HF | Special Opportunities Fund Ltd | [2012-03-28] | 11.4 | 0.0 |
| HF | Trade Finance Income Fund Limited | [2012-03-28] | 19.3 | 11.9 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 391 | 0.2 |
| (b) Individuals (high net worth individuals) | 15,779 | 49.9 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 6 | 11.4 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 180 | 1.0 |
| (h) Charitable organizations | 122 | 2.1 |
| (i) State or municipal government entities | 1 | 0.6 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 575 | 7.9 |
| (n) Other | 0 | 0.0 |
| Total | 42,671 | 73.0 |
| By Discretionary | ||
| Discretionary | 42,649 | 72.8 |
| Non-Discretionary | 22 | 0.1 |
| Total | 42,671 | 73.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 72.9 | |
| Total | 42,671 | 73.0 |
| Form D Directors | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|
| William ODonnell | 45 | ||
| Jay Nadel | 20 | ||
| Jon Hunt | 15 | ||
| Vernon Kozlen | 12 | ||
| Garrett Dalessandro | 10 | ||
| Kurt Hawkesworth | 10 | ||
| Francesco Gozzillo | 9 | ||
| Daniel Hanwacker | 4 | ||
| James Wolford | 12 | ||
| Susan Jones | 11 | ||
| William Sweet | 10 | ||
| Andrew Clare | 7 | ||
| Gregg Giaquinto | 6 | ||
| Mitchell Cepler | 6 | ||
| Greg Francoeur | 6 | ||
| Daniel Hanwacker Sr | 6 | ||
| Irwin Barnet | 6 | ||
| Barbara Hawkesworth | 4 | ||
| City National Rochdale LLC | 3 | ||
| Neal Rubin | 3 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Eaton Vance Management
✚
|
MA | 97.0 |
|
DoubleLine Capital LP
✚
|
FL | 93.3 |
|
Connor Clark & Lunn Investment Management Ltd
✚
|
85.6 | |
|
Pzena Investment Management LLC
✚
|
NY | 81.4 |
|
Brookfield Public Securities Group LLC
✚
|
NY | 66.5 |
|
William Blair Investment Management LLC
✚
|
IL | 65.6 |
|
Brandywine Global Investment Management LLC
✚
|
PA | 65.4 |
|
Quantinno Capital Management LP
✚
|
NY | 60.9 |
|
Eagle Asset Management Inc
✚
|
FL | 60.7 |
|
GW&K Investment Management LLC
✚
|
MA | 52.8 |