SourcingSourcing

RBC ROCHDALE, LLC

C28
CRD 117198·SEC 801-27265·NEW YORK, NY
AUM
$72.96B
$1B+
Est. Revenue
$729.6M
@ 1% on AUM
Est. EBITDA
$218.9M
@ 30% margin
Est. Deal Value
$1.75B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RBC ROCHDALE, LLC
CRD
117198
SEC file #
801-27265
EIN
—
DBA names
—

Economics

AUM
$72.96B
AUM band
$1B+
AUM trajectory
'20'26
$38.93B → $72.96B▲ +87%
Client mix
Individuals High Net Worth15,779
Corporations575
Individuals Other391
Pension Profit Sharing Plans180
Charitable Organizations122

Operations

Employees (total)
269
Advisory staff (per ADV)
138
Advisory staff (5-yr trend)
'20'26
137 advisors → 138 advisors▲ +1%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/03/2026
ADV-W filed at
—
Website
facebook.com/citynationalrochdale(social)

Compliance

Disclosures (firm)
6
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CITY NATIONAL ROCHDALE HOLDINGS,
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
CITY NATIONAL ROCHDALE HOLDINGS,
Daniel, Joby, Swankutty
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:rbcrochdale.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
Pershing6
E*trade4
Fee Schedule
Bracket I68
Bracket Iv12
Bracket Vi10
Bracket Iii7
Bracket Xii2
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (56)

56
DANIEL, JOBY SWANKUTTY
Executive Officer · 2.5%
6616727
GIAQUINTO, GREGG
Executive Officer · 2.5%
3182583
LUKE, CHARLES, JUSTIN
Executive Officer · 2.5%
5419833
O'KEEFFE, IVOR PATRICK
Executive Officer · 2.5%
2397120
RILEY, SHAWN DAVID
Executive Officer · 2.5%
7574191
WEBER, CHRISTINA, MARIE
Executive Officer · 2.5%
6041124
PAUL SINGLE
IAR
1544898
CONNOR James BAUER
IAR
6887597
TERRENCE JAMES LOUGHRAN
IAR
2376446
MICHAEL JAMIL TAILA
IAR
6124444
LINDSEY DAWN COOK
IAR
5219164
KEVIN RICHARD MCINTOSH
IAR
4253079
Dylan James Otis
IAR
7116767
PAUL MICHAEL GUERNEY
IAR
3277237
ANDREW GREGORY BLOCK
IAR
6136632
Austin Francis Chow
IAR
6895482
JONATHAN PETER DOYLE
IAR
4231144
JOHN ROGER KOLUDROVIC
IAR
6278968
Vince Xuan Vu
IAR
6592234
Keren Zhou
IAR
6805773
Andrew Golden
IAR
6793027
Charlton J Strait
IAR
8040941
SEAN CHRISTIAN BECKER
IAR
6124219
DAVID ABRAHAM SHAPIRO
IAR
2926594
Thomas OConnell
IAR
7510578
POUL ERIK OLSEN
IAR
2540152
JULZ M SCHWINGLER
IAR
2445296
ROBERT MICHAEL MECKSTROTH
IAR
5583302
Mary Alexa Gukasyan
IAR
7362432
VERN MONTROSS
IAR
5768275
VALERIE MICHELE IACOVELLI
IAR
5650451
Vincent Jean-Philippe Lemoine
IAR
7474279
KASHIF SAGHEER AHMAD
IAR
2518668
RICHARD CHARLES LIMEKILLER
IAR
2520266
GERALD GAETA
IAR
1076875
Alain Landais
IAR
5643185
TED G. COX
IAR
4400161
JOHN F KAKOLEWSKI
IAR
5286238
CHARLES DAVID BOETTCHER
IAR
6124224
JOHN JOSEPH ROSSITER
IAR
6159793
SIMON B P CHAPMAN
IAR
3007129
BOSTON SAMUEL RUSSELL
IAR
6104448
HANNAH GRACE WALCZYK
IAR
6557735
JOHN AVERY RUNNELLS
IAR
6148420
Matthew Voss
IAR
7663582
ELAYNA SYLVIA BARRISON
IAR
6308938
JOSEPH JAMES QUERRIERA
IAR
6129224
Daniel Pinard
IAR
7406244
John Christian Clark
IAR
7542761
Jesus Alberto Rodriguez
IAR
7569105
WAYNE ALBERT TITCHE
IAR
1034797
JONATHAN DAVID HERZOG
IAR
6325997
SUNITA GEORGE
IAR
5785590
Mark Phillip Antariksa
IAR
6874658
Namik Beganovic
IAR
6250422
RUSSELL MICHAEL MARTIN
IAR
5275531