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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED

CRD 112284

LONDON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01390f54-0e39-e6ce-1514-ec26de6edae1

Data as of Jan 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2012 to Jan 29, 2018
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $352MItem 5.F on the latest filing (2018-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $10.8M
Private client RAUM: $17.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 5%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 37
High net worth clients: 13
Custody, client assets: $0
SEC number: 801-55108
CRD: 112284
Filings on the tape: 19
First filed: Jan 30, 2012
Latest filed: Jan 29, 2018
Organised: Corporation

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CLATWORTHY, MARK, ROBERT	OPERATIONS OFFICER & DIRECTOR	Na	yes	01/2010	Jan 30, 2012	Jan 29, 2018
CURRIN, SCOTT, RICHARD	MONEY LAUNDERING OFFICER	Na	yes	09/2015	Jan 29, 2016	Jan 29, 2018
ELLIS, DANIEL, LEE	CHIEF EXECUTIVE OFFICER AND DIRECTOR	Na	yes	11/2013	Jan 29, 2014	Jan 29, 2018
FLETCHER, TIMOTHY	Director	Na	yes	10/2011	Jan 30, 2013	Jan 29, 2018
Jennings, Christopher, Ross Nevill	Director	Na	yes	09/2017	Jan 29, 2018	Jan 29, 2018
KRAG, STEPHEN, ROSENTJERNE	DIRECTOR (NON-EXECUTIVE)	Na	yes	02/2014	Jan 29, 2015	Jan 29, 2018
MacLaren, Bruce, William	CHIEF RISK OFFICER	Na	yes	08/2015	Jan 29, 2016	Jan 29, 2018
Pearlman, Mark, Saul	CHIEF FINANCIAL OFFICER	Na	yes	05/2017	Jan 29, 2018	Jan 29, 2018
RAWLINSON, DAVID	CHIEF COMPLIANCE OFFICER, WEALTH MANAGEMENT LONDON	Na	yes	01/2016	Jan 29, 2016	Jan 29, 2018
ROYAL BANK OF CANADA	PARENT COMPANY	E	yes	11/2012	Jan 30, 2012	Jan 29, 2018
ROYAL BANK OF CANADA HOLDINGS (UK) LTD	INDIRECT PARENT	E	yes	04/1990	Jan 30, 2012	Jan 29, 2018
ROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LTD	DIRECT PARENT	E	yes	04/1998	Jan 30, 2012	Jan 29, 2018
WILSON, NIALL	RISK OFFICER	Na	yes	07/2014	Jan 27, 2017	Jan 29, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
RBC CAPITAL MARKETS, LLC	n/a	National bd RIA	$310B	N	yes	n/a
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED	n/a	Asset manager	$178B	N	yes	n/a
RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.	n/a	Asset manager	$104B	N	yes	n/a
RBC EUROPE LIMITED	n/a	n/a	n/a	N	yes	n/a
RBC GLOBAL ASSET MANAGEMENT INC	n/a	n/a	n/a	N	yes	n/a
ROYAL BANK OF CANADA	n/a	n/a	n/a	Y	no	n/a
ROYAL BANK OF CANADA (CHANNEL ISLANDS) LIMITED	n/a	n/a	n/a	N	yes	n/a
ROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LIMITED	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Jan 29, 2018	$352M	$10.8M	18	2	0	n/a	n/a
2016	Jan 27, 2017	$771M	$50.8M	25	5	n/a	n/a	n/a
2015	Jan 29, 2016	$809M	$50.3M	25	6	n/a	n/a	n/a
2014	Jan 29, 2015	$928M	$70.2M	28	9	n/a	n/a	n/a
2013	Jan 29, 2014	$864M	$75.9M	27	8	n/a	n/a	n/a
2012	Jan 30, 2013	$768M	$70.2M	29	7	n/a	n/a	n/a
2011	Jan 30, 2012	$796M	$79.4M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$352M	$771M	-54.3%	$928M	-27.6%	18	25	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SCHRODER WEALTH MANAGEMENT (US) LIMITED	2	Jul 13, 2017	Oct 13, 2025	London	Team lift out	Other	50.0%

Relationships

Affiliated with (5)

← BLUEBAY ASSET MANAGEMENT LLPRegistered adviserother investment adviser, common control
factForm ADV
← BLUEBAY ASSET MANAGEMENT USA LLCRegistered adviserother investment adviser, common control
factForm ADV
→ RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ RBC GLOBAL ASSET MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserother investment adviser, broker-dealer, trust company, LP sponsor, common control
factForm ADV

Controls (12)

← FLETCHER, TIMOTHYOwnerDIRECTOR, ownership code NA, individual
Jan 30, 2013 to presentfactForm ADV
← CLATWORTHY, MARK, ROBERTOwnerOPERATIONS OFFICER & DIRECTOR, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← ELLIS, DANIEL, LEEOwnerCHIEF EXECUTIVE OFFICER AND DIRECTOR, ownership code NA, individual
Jan 29, 2014 to presentfactForm ADV
← KRAG, STEPHEN, ROSENTJERNEOwnerDIRECTOR (NON-EXECUTIVE), ownership code NA, individual
Jan 29, 2015 to presentfactForm ADV
← CURRIN, SCOTT, RICHARDOwnerMONEY LAUNDERING OFFICER, ownership code NA, individual
Jan 29, 2016 to presentfactForm ADV
← MacLaren, Bruce, WilliamOwnerCHIEF RISK OFFICER, ownership code NA, individual
Jan 29, 2016 to presentfactForm ADV
← RAWLINSON, DAVIDOwnerCHIEF COMPLIANCE OFFICER, WEALTH MANAGEMENT LONDON, ownership code NA, individual
Jan 29, 2016 to presentfactForm ADV
← WILSON, NIALLOwnerRISK OFFICER, ownership code NA, individual
Jan 27, 2017 to presentfactForm ADV
← Pearlman, Mark, SaulOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 29, 2018 to presentfactForm ADV
← Jennings, Christopher, Ross NevillOwnerDIRECTOR, ownership code NA, individual
Jan 29, 2018 to presentfactForm ADV
← ROYAL BANK OF CANADAOwnerPARENT COMPANY, ownership code E, foreign entity
Jan 30, 2012 to presentfactForm ADV
← ROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LTDOwnerDIRECT PARENT, ownership code E, foreign entity
Jan 30, 2012 to presentfactForm ADV

Moved with (1)

→ SCHRODER WEALTH MANAGEMENT (US) LIMITEDRegistered adviser2 advisors, team lift out
Jul 13, 2017 to Oct 13, 2025factForm ADV

Registered with (5)

← CHRISTOPHER JAMES GIRDLERAdvisorregistration: previous registration
Dec 12, 2013 to Jan 29, 2018factForm ADV
← MICHAEL GEOFFREY GREENWOODAdvisorregistration: previous registration
Dec 14, 2012 to Jan 4, 2018factForm ADV
← MARTIN JOHN HEALEAdvisorregistration: previous registration
Oct 20, 2011 to Jul 14, 2017factForm ADV
← JANETTE CLARE SAXERAdvisorregistration: previous registration
Jul 15, 2009 to Jul 13, 2017factForm ADV
← Tracy L MaeterAdvisorregistration: previous registration
May 2, 2012 to Mar 18, 2013factForm ADV

Dated events

Occurred
Jan 29, 2018
Regulatory AUM changed
Royal Bank Of Canada Investment Management(Usa) Limited reported RAUM $352.2M, down 54% from $771.4M (2017-02-27 to 2018-01-29)
Form ADVobserved 5 days ago
$-419M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01390f54-0e39-e6ce-1514-ec26de6edae1
First observed: Jan 30, 2012
Last observed: Jan 29, 2018 105 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED

CRD 112284

LONDON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01390f54-0e39-e6ce-1514-ec26de6edae1

Data as of Jan 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLATWORTHY, MARK, ROBERT

OPERATIONS OFFICER & DIRECTOR

yes

01/2010

Jan 30, 2012

Jan 29, 2018

CURRIN, SCOTT, RICHARD

MONEY LAUNDERING OFFICER

yes

09/2015

Jan 29, 2016

Jan 29, 2018

ELLIS, DANIEL, LEE

CHIEF EXECUTIVE OFFICER AND DIRECTOR

yes

11/2013

Jan 29, 2014

Jan 29, 2018

FLETCHER, TIMOTHY

Director

yes

10/2011

Jan 30, 2013

Jan 29, 2018

Jennings, Christopher, Ross Nevill

Director

yes

09/2017

Jan 29, 2018

KRAG, STEPHEN, ROSENTJERNE

DIRECTOR (NON-EXECUTIVE)

yes

02/2014

Jan 29, 2015

Jan 29, 2018

MacLaren, Bruce, William

CHIEF RISK OFFICER

yes

08/2015

Jan 29, 2016

Jan 29, 2018

Pearlman, Mark, Saul

CHIEF FINANCIAL OFFICER

yes

05/2017

Jan 29, 2018

RAWLINSON, DAVID

CHIEF COMPLIANCE OFFICER, WEALTH MANAGEMENT LONDON

yes

01/2016

Jan 29, 2016

Jan 29, 2018

ROYAL BANK OF CANADA

PARENT COMPANY

yes

11/2012

Jan 30, 2012

Jan 29, 2018

ROYAL BANK OF CANADA HOLDINGS (UK) LTD

INDIRECT PARENT

yes

04/1990

Jan 30, 2012

Jan 29, 2018

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LTD

DIRECT PARENT

yes

04/1998

Jan 30, 2012

Jan 29, 2018

WILSON, NIALL

RISK OFFICER

yes

07/2014

Jan 27, 2017

Jan 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RBC CAPITAL MARKETS, LLC

n/a

National bd RIA

$310B

yes

n/a

RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED

n/a

Asset manager

$178B

yes

n/a

RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.

n/a

Asset manager

$104B

yes

n/a

RBC EUROPE LIMITED

n/a

yes

n/a

RBC GLOBAL ASSET MANAGEMENT INC

n/a

yes

n/a

ROYAL BANK OF CANADA

n/a

ROYAL BANK OF CANADA (CHANNEL ISLANDS) LIMITED

n/a

yes

n/a

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jan 29, 2018

$352M

$10.8M

n/a

2016

Jan 27, 2017

$771M

$50.8M

n/a

2015

Jan 29, 2016

$809M

$50.3M

n/a

2014

Jan 29, 2015

$928M

$70.2M

n/a

2013

Jan 29, 2014

$864M

$75.9M

n/a

2012

Jan 30, 2013

$768M

$70.2M

n/a

2011

Jan 30, 2012

$796M

$79.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$352M

$771M

-54.3%

$928M

-27.6%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SCHRODER WEALTH MANAGEMENT (US) LIMITED

Jul 13, 2017

Oct 13, 2025

London

Team lift out

Other

50.0%