RBC SECURITIES, INC.

CRD

103705

SEC file #

801-71181

EIN

042687009

DBA names

—

Economics

AUM

$1.52B

AUM band

$1B+

AUM trajectory

'20 · $1.09B

'21 · $1.39B

'22 · $1.62B

'23 · $1.62B

'25 · $1.59B

'26 · $1.52B

'20'26

$1.09B → $1.52B▲ +39%

sec adv history

Client mix

Individuals Other	955
Individuals High Net Worth	337
Corporations	82
Pension Profit Sharing Plans	52
Charitable Organizations	25

Operations

Employees (total)

186

Advisory staff (per ADV)

124

Advisory staff (5-yr trend)

'20 · 24 advisors

'21 · 36 advisors

'22 · 35 advisors

'23 · 35 advisors

'25 · 37 advisors

'26 · 124 advisors

'20'26

24 advisors → 124 advisors▲ +417%

sec adv history

Primary office

LOS ANGELES CA

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers

Fee basis

% of AUMOther Compensation

Filings

Latest ADV filing

02/05/2026

ADV-W filed at

—

Website

cnr.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

RBC USA HOLDCO CORPORATION

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

RBC USA HOLDCO CORPORATION

BARTON, RICHARD JOSEPH

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

CNR.COM

Rdap Domain Creation Date

1994-08-31T04:00:00Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

GoDaddy Corporate Domains, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001480640

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2010-02-22

Edgar Last Filing Date

2010-02-22

Edgar Form D Count

Edgar Form D Offerings

2010-02-222010-02-22 · 0001480640-10-000002

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade

adv brochure

Edgar Addresses

Mailing

6 LIBERTY LANE WESTHAMPTON, NH 03842

Business

6 LIBERTY LANE WESTHAMPTON, NH 03842

Edgar EIN

042687009

Edgar Recent Filings

D2010-02-22 · 0001480640-10-000002

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2027-08-30T04:00:00Z

Rdap Domain Last Changed

2025-05-12T19:56:03Z

Rdap Nameservers

Edns1.ultradns.bizEdns1.ultradns.comEdns1.ultradns.netEdns1.ultradns.org

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Trust Company Affiliate

Yes

IAR · Executive Officer · 2.5%

People (56)

BARTON, RICHARD JOSEPH

2040869

DANIEL, JOBY SWANKUTTY

6616727

GIAQUINTO, GREGG

3182583

WILLIAM JOHN MAGUIRE

2040885

O'KEEFFE, IVOR PATRICK

2397120

RILEY, SHAWN DAVID

7574191

SANTIAGO AVILA BRETADO