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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

RBC ROCHDALE, LLC

CRD 117198

NEW YORK, NY

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:6ceb5d6d-d26b-7dfb-25f6-856e45fe370c

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 244
Dated events: 40
On other graphs: 0
Observed: Mar 28, 2012 to Sep 10, 2026
76 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.69 fund_share=0.16 institutional_share=0.05 related_bd=true related_bank=false bd_reps=146.0
Regulatory AUM: $73BItem 5.F on the latest filing (2026-09-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $73B
Private client RAUM: $50BderivedItem 5.D individuals plus high net worth individuals
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 120
RAUM per advisor: $608Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 269
Advisory employees: 138
Offices: 10Schedule D 1.F, beyond the principal office
Accounts: 42,770
Individual clients: 391
High net worth clients: 15,779
SEC number: 801-27265
CIK: 1009289
CRD: 117198
Filings on the tape: 76
First filed: Mar 28, 2012
Latest filed: Sep 10, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 119

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ELIZABETH TERESA DOOLEY	Chartered Financial Analyst	NEW YORK, NY \| Milford, PA	25	29	n/a	yes
TED G. COX	n/a	Richmond, VA \| ALLENDALE, NJ	25	25	n/a	yes
PAUL MICHAEL GUERNEY	n/a	New York, NY \| NEW YORK, NY	24	25	n/a	yes
POUL ERIK OLSEN	n/a	NEW YORK, NY \| san francisco, CA	23	31	n/a	yes
RUSSELL EVAN LAUNER	n/a	NEW YORK, NY	22	22	n/a	yes
KASHIF SAGHEER AHMAD	Chartered Financial Analyst	FREEHOLD, NJ \| NEW YORK, NY	19	26	n/a	yes
JOHN F KAKOLEWSKI	Chartered Financial Analyst	New York, NY \| Ho Ho Kus, NJ \| NEW YORK, NY	17	20	n/a	yes
SHELDON CRAIG BRANDAU	n/a	Oviedo, FL \| NEW YORK, NY \| LAKE MARY, FL	16	31	1	yes
JONATHAN PETER DOYLE	n/a	NEW YORK, NY \| Chicago, IL	16	19	1	yes
LINDSEY DAWN COOK	n/a	Beverly Hills, CA \| NEW YORK, NY \| Los Angeles, CA	15	19	2	yes
ROBERT MICHAEL MECKSTROTH	Chartered Financial Analyst	SAN FRANCISCO, CA \| San Mateo, CA \| NEW YORK, NY	14	16	n/a	yes
MICHAEL OWEN ADAIR	n/a	SYLACAUGA, AL \| NEW YORK, NY	14	25	4	yes
JEFFREY SEAN WITHROW	Chartered Financial Analyst	NEW YORK, NY \| Scottsdale, AZ	13	16	1	yes
SEAN CHRISTIAN BECKER	n/a	La Jolla, CA \| NEW YORK, NY	13	14	n/a	yes
EDWARD GERARD POPE	n/a	SAN FRANCISCO, CA \| NEW YORK, NY \| San Francisco, CA	13	20	2	yes
TERRENCE JAMES LOUGHRAN	Chartered Financial Analyst	IRVINE, CA \| NEW YORK, NY	13	19	n/a	yes
PAMELA DAWN NELSON	Chartered Financial Analyst	NEW YORK, NY	13	21	n/a	no
JOSEPH M BOVE	n/a	NEW YORK, NY	13	13	n/a	yes
JOSEPH JAMES QUERRIERA	Chartered Financial Analyst	Irvine, CA \| NEW YORK, NY	13	22	n/a	yes
ANDREW GREGORY BLOCK	Chartered Financial Analyst	BEVERLY HILLS, CA \| NEW YORK, NY	13	17	n/a	yes
BOSTON SAMUEL RUSSELL	Chartered Financial Analyst	NEW YORK, NY \| Orlando, FL \| LAKE MARY, FL	13	14	n/a	yes
RICHARD CHARLES LIMEKILLER	Certified Financial Planner\|Chartered Financial Analyst	MIDDLETOWN, NJ \| NEW YORK, NY \| New York, NY	13	14	n/a	yes
VALERIE MICHELE IACOVELLI	n/a	NEW YORK, NY	13	16	n/a	yes
SIMON B P CHAPMAN	n/a	La Mesa, CA \| NEW YORK, NY \| La Jolla, CA	13	29	n/a	yes
RACHAEL M CRANE	n/a	SAN FRANCISCO, CA \| San Francisco, CA \| NEW YORK, NY	13	18	2	yes

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
DIVERSIFIED OPPORTUNITIES FUND LTD.	Hedge Fund	$17.1M	Mar 11, 2019	38	Mar 28, 2012	dropped	021-221946
ROCHDALE ALTERNATIVE TOTAL RETURN OFFSHORE FUND	Hedge Fund	$16.4M	Mar 24, 2014	42	Mar 28, 2012	dropped	n/a
TRADE FINANCE INCOME FUND LIMITED	Hedge Fund	$11.9M	Jun 30, 2016	65	Mar 28, 2012	dropped	021-130795
ROCHDALE ROYALTY RIGHTS FUND	Other Private Fund	$4.2M	Jun 30, 2016	33	Mar 19, 2013	dropped	021-186921
SPECIAL OPPORTUNITIES FUND LTD.	Hedge Fund	$0	Sep 10, 2026	46	Mar 28, 2012	reported	021-221948

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
Daniel, Joby, Swankutty	BOARD DIRECTOR	Na	yes	06/2024	Sep 10, 2026	Sep 10, 2026
GALLO, PHILIP	BOARD DIRECTOR	Na	yes	08/2026	Sep 10, 2026	Sep 10, 2026
O'KEEFFE, IVOR, PATRICK	BOARD DIRECTOR	Na	yes	11/2024	Sep 10, 2026	Sep 10, 2026
Riley, Shawn, David	BOARD DIRECTOR	Na	yes	06/2024	Sep 10, 2026	Sep 10, 2026
WEBER, CHRISTINA, MARIE	CHIEF COMPLIANCE OFFICER	Na	yes	02/2026	Sep 10, 2026	Sep 10, 2026
Williams, Brandon	CHAIRMAN OF THE BOARD	Na	yes	02/2026	Sep 10, 2026	Sep 10, 2026
CITY NATIONAL BANK	MANAGING MEMBER OF CNR HOLDINGS, LLC	E	yes	07/2012	Jul 31, 2012	Jun 20, 2024
CITY NATIONAL ROCHDALE HOLDINGS, LLC.	MANAGING MEMBER	E	yes	05/2005	Mar 24, 2014	Jun 20, 2024
FREEMAN, WILLIAM, JAY	BOARD MEMBER	Na	yes	07/2012	Jul 31, 2012	Jun 20, 2024
GIAQUINTO, GREGG, ROBERT	President	Na	yes	02/2024	Jun 20, 2024	Jun 20, 2024
Levy, Rochelle, Beth	CHIEF COMPLIANCE OFFICER	Na	yes	11/2022	Nov 1, 2022	Jun 20, 2024
LUKE, CHARLES, JUSTIN	CHIEF INVESTMENT OFFICER	Na	yes	04/2024	Jun 20, 2024	Jun 20, 2024
RBC USA HOLDCO CORPORATION	Owner	E	yes	11/2015	Nov 24, 2015	Jun 20, 2024
ROYAL BANK OF CANADA	ULTIMATE OWNER	E	yes	11/2015	Nov 24, 2015	Jun 20, 2024

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
CITY NATIONAL SECURITIES, INC.	n/a	Bd affiliated wealth	$1.5B	N	yes	n/a
SYMPHONIC FINANCIAL ADVISORS LLC	n/a	Former SEC adviser	$125M	N	yes	n/a
CITY NATIONAL BANK	n/a	n/a	n/a	Y	yes	CA
CNR SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
SYMPHONIC INSURANCE LLC	n/a	n/a	n/a	N	yes	n/a
SYMPHONIC SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	12	no
BEVERLY HILLS	CA	United States	7	yes
LAKE MARY	FL	United States	4	no
Chicago	IL	United States	3	no
Houston	TX	United States	2	no
Irvine	CA	United States	1	no
LA JOLLA	CA	United States	1	no
Limerick	Pa	United States	1	no
Richmond	Va	United States	1	no

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; showing 15 of 18

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 3, 2026	$73B	$73B	269	138	11	1	n/a
2024	Apr 24, 2025	$68B	$68B	235	126	10	1	n/a
2023	Jan 26, 2024	$60B	$60B	220	129	9	1	$38.8M
2022	Jan 27, 2023	$54B	$54B	300	100	9	1	$43.8M
2021	Jan 29, 2022	$58B	$58B	305	103	9	1	$45.2M
2020	Jan 30, 2021	$46B	$46B	315	108	10	1	$24.6M
2019	Jan 31, 2020	$43B	$43B	301	112	15	1	$28.7M
2018	Jan 31, 2019	$39B	$39B	274	137	17	2	$43.0M
2017	Jan 11, 2018	$36B	$36B	274	137	17	2	$43.0M
2016	Jan 9, 2017	$31B	$31B	241	137	n/a	2	$42.0M
2015	Mar 18, 2016	$28B	$28B	211	97	n/a	4	$72.1M
2014	Mar 27, 2015	$26B	$26B	208	115	n/a	4	$71.9M
2013	Mar 24, 2014	$22B	$22B	173	94	n/a	5	$100M
2012	Mar 19, 2013	$5.2B	$5.2B	105	74	n/a	5	$82.6M
2011	Mar 28, 2012	$4.7B	$4.7B	n/a	n/a	n/a	4	$67.5M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
9	11	-2	9.2%	2	3	0	20	24

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
2025	$73B	$68B	7.0%	$54B	10.4%	269	235	10	10

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
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	2	Aug 28, 2023	Aug 1, 2023	NEW YORK, NY	Team lift out	Ibd to RIA	1.7%
RBC SECURITIES, INC.	4	Apr 19, 2022	Apr 28, 2022	NEW YORK, NY	Team lift out	Ibd to RIA	3.8%

Relationships

showing 80 of 244

Affiliated with (7)

→ RBC SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ SYMPHONIC FINANCIAL ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserother investment adviser, broker-dealer, trust company, LP sponsor, common control
factForm ADV
← RBC CAPITAL MARKETS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← RBC SECURITIES, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.Registered adviserother investment adviser, common control
factForm ADV
← SYMPHONIC FINANCIAL ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (72)

← JOSEPH EDWARD BAUMGARTNERAdvisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← GREGORY THOMAS BRUNCKAdvisorregistration: current employment
Jul 13, 2026 to presentfactForm ADV
← Isela D Ortega-WuAdvisorregistration: current employment
Jul 6, 2026 to presentfactForm ADV
← Rayvon SolomonAdvisorregistration: current employment
Jun 9, 2026 to presentfactForm ADV
← MICHAEL PETER CORELLIAdvisorregistration: current employment
Mar 19, 2026 to presentfactForm ADV
← MICHAEL ERBAdvisorregistration: current employment
Feb 25, 2026 to presentfactForm ADV
← Madeleine Rose FrostAdvisorregistration: current employment
Feb 2, 2026 to presentfactForm ADV
← Joshua Eric ReyesAdvisorregistration: current employment
Jan 27, 2026 to presentfactForm ADV
← BOBBY sharan GOMEZAdvisorregistration: current employment
Jan 9, 2026 to presentfactForm ADV
← COLE MATHEW GESTAdvisorregistration: current employment
Jan 9, 2026 to presentfactForm ADV
← JOSH DRESERISAdvisorregistration: current employment
Dec 18, 2025 to presentfactForm ADV
← John Christian ClarkAdvisorregistration: current employment
Oct 18, 2025 to presentfactForm ADV
← KEVIN Gerard BETTSAdvisorregistration: current employment
Sep 12, 2025 to presentfactForm ADV
← Albert DiazAdvisorregistration: current employment
Sep 5, 2025 to presentfactForm ADV
← OGHENERUEMU RUMIE OGUNLEYEAdvisorregistration: current employment
Sep 1, 2025 to presentfactForm ADV
← Brian MoodyAdvisorregistration: current employment
Jul 1, 2025 to presentfactForm ADV
← JUAN CARLOS IBANEZAdvisorregistration: current employment
Jun 4, 2025 to presentfactForm ADV
← Charlton J StraitAdvisorregistration: current employment
May 6, 2025 to presentfactForm ADV
← CHARLES JUSTIN LUKEAdvisorregistration: current employment
Feb 7, 2025 to presentfactForm ADV
← Andrew GoldenAdvisorregistration: current employment
Oct 25, 2024 to presentfactForm ADV
← Nicholas Michael LiccardiAdvisorregistration: current employment
Aug 19, 2024 to presentfactForm ADV
← Drew Bailey HadlockAdvisorregistration: current employment
Aug 8, 2024 to presentfactForm ADV
← EVAN JUSTIN LINCOLNAdvisorregistration: current employment
Apr 18, 2024 to presentfactForm ADV
← Alexandra Taylor SandovalAdvisorregistration: current employment
Mar 16, 2024 to presentfactForm ADV
← KEITH SMITHAdvisorregistration: current employment
Feb 7, 2024 to presentfactForm ADV
← Namik BeganovicAdvisorregistration: current employment
Jan 29, 2024 to presentfactForm ADV
← Richard K PowersAdvisorregistration: current employment
Nov 16, 2023 to presentfactForm ADV
← David WilsonAdvisorregistration: current employment
Aug 4, 2023 to presentfactForm ADV
← MARIA TERESA ARONOFFAdvisorregistration: current employment
May 8, 2023 to presentfactForm ADV
← RICARDO KONGAdvisorregistration: current employment
Apr 17, 2023 to presentfactForm ADV
and 42 more

Advises (1)

→ SPECIAL OPPORTUNITIES FUND LTD.Private fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV

Dated events

Occurred
Aug 25, 2026
Advisor changed firm
Michael Taila left Rbc Rochdale, Llc for Jefferies Investment Advisers Llc (registered 2026-08-11)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2026
Advisor changed firm
Justin Al Renteria left Rbc Rochdale, Llc for Flagstar Securities, Inc. (registered 2026-07-29)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2026
Advisor changed firm
Daniel Alfred Butterly left Rbc Rochdale, Llc for Advice And Planning Services (registered 2026-06-30)
Form ADVobserved 4 days ago
Occurred
Jun 12, 2026
Advisor changed firm
Tracey Graziosa left Rbc Rochdale, Llc for Cetera Investment Advisers Llc (registered 2026-06-02)
Form ADVobserved 4 days ago
Occurred
May 28, 2026
Advisor changed firm
Jarrad Scott Schultz left Rbc Rochdale, Llc for Ieq Capital, Llc (registered 2026-06-01)
Form ADVobserved 4 days ago
Occurred
Apr 23, 2026
Advisor changed firm
Nicholas Thompson left Rbc Rochdale, Llc for Beacon Trust (registered 2026-04-29)
Form ADVobserved 4 days ago
Occurred
Mar 4, 2026
Advisor changed firm
Cameron Jaimes Killeen left Rbc Rochdale, Llc for Capital Group Private Client Services, Inc. (registered 2026-04-06)
Form ADVobserved 4 days ago
Occurred
Mar 4, 2026
Advisor changed firm
David Harrison Goodless left Rbc Rochdale, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-02-10)
Form ADVobserved 4 days ago
Occurred
Feb 24, 2026
Advisor changed firm
Scott Joseph Pollaci left Rbc Rochdale, Llc for Osaic Wealth, Inc. (registered 2026-03-03)
Form ADVobserved 4 days ago
Occurred
Dec 17, 2025
Advisor changed firm
Alexander Meleis left Rbc Rochdale, Llc for Schwab Wealth Advisory, Inc. (registered 2025-12-18)
Form ADVobserved 4 days ago
Occurred
Sep 29, 2025
Advisor changed firm
Jacqueline Rivera left Rbc Rochdale, Llc for Citigroup Global Markets Inc. (registered 2025-11-18)
Form ADVobserved 4 days ago
Occurred
Sep 17, 2025
Advisor changed firm
Charles Paul Alberton left Rbc Rochdale, Llc for Sandro Wealth Management Llc (registered 2025-10-01)
Form ADVobserved 4 days ago
Occurred
Jun 20, 2025
Advisor changed firm
Jonathan E Taylor left Rbc Rochdale, Llc for Capital Group Private Client Services, Inc. (registered 2025-10-30)
Form ADVobserved 4 days ago
Occurred
May 21, 2025
Advisor changed firm
Justin Pender left Rbc Rochdale, Llc for Morgan Stanley (registered 2025-09-26)
Form ADVobserved 4 days ago
Occurred
Apr 25, 2025
Advisor changed firm
Jessica Diane Gardner left Rbc Rochdale, Llc for Ieq Capital, Llc (registered 2025-05-12)
Form ADVobserved 4 days ago
Occurred
Apr 21, 2025
Advisor changed firm
Erin Lee Patak left Rbc Rochdale, Llc for Corient (registered 2025-05-12)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2024
Advisor changed firm
Yash Sunil Patil left Rbc Rochdale, Llc for Agentech Equities, Llc (registered 2025-11-26)
Form ADVobserved 4 days ago
Occurred
Dec 2, 2024
Advisor changed firm
Steven Anthony Denike left Rbc Rochdale, Llc for Sandro Wealth Management Llc (registered 2025-01-30)
Form ADVobserved 4 days ago
Occurred
Oct 18, 2024
Advisor changed firm
Adam Todd Elover left Rbc Rochdale, Llc for Lpl Financial Llc (registered 2024-10-08)
Form ADVobserved 4 days ago
Occurred
Jun 20, 2024
Control person joined
Justin Charles Luke (Chief Investment Officer) appeared on Schedule A of Rbc Rochdale, Llc
Form ADVobserved 4 days ago
Occurred
Jun 20, 2024
Control person joined
Robert Gregg Giaquinto (President) appeared on Schedule A of Rbc Rochdale, Llc
Form ADVobserved 4 days ago
Occurred
Jun 20, 2024
Control person left
Alexander Kurt Hawkesworth (Senior Managing Director And Chief Operating Officer) no longer on Schedule A of Rbc Rochdale, Llc (listed 2024-05-30, absent 2024-06-20)
Form ADVobserved 4 days ago
Occurred
Jun 20, 2024
Control person left
A Thomas Galvin (Chief Investment Officer) no longer on Schedule A of Rbc Rochdale, Llc (listed 2024-05-30, absent 2024-06-20)
Form ADVobserved 4 days ago
Occurred
May 17, 2024
Advisor changed firm
Thomas A Galvin left Rbc Rochdale, Llc for Sandro Wealth Management Llc (registered 2024-12-16)
Form ADVobserved 4 days ago
Occurred
Apr 10, 2024
Advisor changed firm
Nicholas Marc Pagonis left Rbc Rochdale, Llc for Leucadia Asset Management Llc (registered 2024-04-22)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2024
Advisor changed firm
Jared R Mcdaniel left Rbc Rochdale, Llc for Cornerstone Wealth (registered 2024-04-08)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2023
Advisor changed firm
Adam B Gorlyn left Rbc Rochdale, Llc for Citizens Private Wealth (registered 2024-12-19)
Form ADVobserved 4 days ago
Occurred
Oct 25, 2023
Control person left
Richard Garrett D'Alessandro (Chief Executive Officer) no longer on Schedule A of Rbc Rochdale, Llc (listed 2023-05-05, absent 2023-10-25)
Form ADVobserved 4 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Garrett Richard D'Alessandro left Rbc Rochdale, Llc for Symphonic Financial Advisors Llc (registered 2005-09-09)
Form ADVobserved 4 days ago
Occurred
Sep 15, 2023
Advisor changed firm
Steven Robert Petrovich left Rbc Rochdale, Llc for Jefferies Investment Advisers Llc (registered 2025-04-17)
Form ADVobserved 4 days ago
Occurred
Aug 28, 2023
Team lift-out
2 advisors left RBC Rochdale, LLC (New York, NY) for Wealth Enhancement Advisory Services, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Aug 28, 2023
Advisor changed firm
Neal Rubin left Rbc Rochdale, Llc for Wealth Enhancement Advisory Services, Llc (registered 2023-08-01)
Form ADVobserved 4 days ago
Occurred
Aug 28, 2023
Advisor changed firm
John Anthony Geraghty left Rbc Rochdale, Llc for Wealth Enhancement Advisory Services, Llc (registered 2023-08-01)
Form ADVobserved 4 days ago
Occurred
Jul 28, 2023
Advisor changed firm
Jayme-Lee C Kyritz left Rbc Rochdale, Llc for Morgan Stanley (registered 2023-07-25)
Form ADVobserved 4 days ago
Occurred
May 23, 2023
Advisor changed firm
Brian D Beldham left Rbc Rochdale, Llc for Symphonic Financial Advisors Llc (registered 2022-01-25)
Form ADVobserved 4 days ago
Occurred
Apr 24, 2023
Advisor changed firm
Keith Richard Bosco left Rbc Rochdale, Llc for Verity Investment Partners (registered 2023-05-09)
Form ADVobserved 4 days ago
Occurred
Apr 24, 2023
Advisor changed firm
Jeffrey Wendell Jones left Rbc Rochdale, Llc for Fci Advisors (registered 2024-12-04)
Form ADVobserved 4 days ago
Occurred
Mar 2, 2023
Advisor changed firm
Ryan Joshua Woolhiser left Rbc Rochdale, Llc for Mml Investors Services, Llc (registered 2023-05-05)
Form ADVobserved 4 days ago
Occurred
Jan 27, 2023
Advisor changed firm
Brandon Kevin Marty left Rbc Rochdale, Llc for Ubs Financial Services Inc. (registered 2023-02-02)
Form ADVobserved 4 days ago
Occurred
Dec 21, 2022
Advisor changed firm
Kevin Gerard Betts left Rbc Rochdale, Llc for Citigroup Global Markets Inc. (registered 2023-01-19)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ceb5d6d-d26b-7dfb-25f6-856e45fe370c
First observed: Mar 28, 2012
Last observed: Sep 10, 2026 9 days 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.

RBC ROCHDALE, LLC

CRD 117198

NEW YORK, NY

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:6ceb5d6d-d26b-7dfb-25f6-856e45fe370c

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:47 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ELIZABETH TERESA DOOLEY

Chartered Financial Analyst

NEW YORK, NY | Milford, PA

n/a

yes

TED G. COX

n/a

Richmond, VA | ALLENDALE, NJ

n/a

yes

PAUL MICHAEL GUERNEY

n/a

New York, NY | NEW YORK, NY

n/a

yes

POUL ERIK OLSEN

n/a

NEW YORK, NY | san francisco, CA

n/a

yes

RUSSELL EVAN LAUNER

n/a

NEW YORK, NY

n/a

yes

KASHIF SAGHEER AHMAD

Chartered Financial Analyst

FREEHOLD, NJ | NEW YORK, NY

n/a

yes

JOHN F KAKOLEWSKI

Chartered Financial Analyst

New York, NY | Ho Ho Kus, NJ | NEW YORK, NY

n/a

yes

SHELDON CRAIG BRANDAU

n/a

Oviedo, FL | NEW YORK, NY | LAKE MARY, FL

yes

JONATHAN PETER DOYLE

n/a

NEW YORK, NY | Chicago, IL

yes

LINDSEY DAWN COOK

n/a

Beverly Hills, CA | NEW YORK, NY | Los Angeles, CA

yes

ROBERT MICHAEL MECKSTROTH

Chartered Financial Analyst

SAN FRANCISCO, CA | San Mateo, CA | NEW YORK, NY

n/a

yes

MICHAEL OWEN ADAIR

n/a

SYLACAUGA, AL | NEW YORK, NY

yes

JEFFREY SEAN WITHROW

Chartered Financial Analyst

NEW YORK, NY | Scottsdale, AZ

yes

SEAN CHRISTIAN BECKER

n/a

La Jolla, CA | NEW YORK, NY

n/a

yes

EDWARD GERARD POPE

n/a

SAN FRANCISCO, CA | NEW YORK, NY | San Francisco, CA

yes

TERRENCE JAMES LOUGHRAN

Chartered Financial Analyst

IRVINE, CA | NEW YORK, NY

n/a

yes

PAMELA DAWN NELSON

Chartered Financial Analyst

NEW YORK, NY

n/a

JOSEPH M BOVE

n/a

NEW YORK, NY

n/a

yes

JOSEPH JAMES QUERRIERA

Chartered Financial Analyst

Irvine, CA | NEW YORK, NY

n/a

yes

ANDREW GREGORY BLOCK

Chartered Financial Analyst

BEVERLY HILLS, CA | NEW YORK, NY

n/a

yes

BOSTON SAMUEL RUSSELL

Chartered Financial Analyst

NEW YORK, NY | Orlando, FL | LAKE MARY, FL

n/a

yes

RICHARD CHARLES LIMEKILLER

Certified Financial Planner|Chartered Financial Analyst

MIDDLETOWN, NJ | NEW YORK, NY | New York, NY

n/a

yes

VALERIE MICHELE IACOVELLI

n/a

NEW YORK, NY

n/a

yes

SIMON B P CHAPMAN

n/a

La Mesa, CA | NEW YORK, NY | La Jolla, CA

n/a

yes

RACHAEL M CRANE

n/a

SAN FRANCISCO, CA | San Francisco, CA | NEW YORK, NY

yes

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

DIVERSIFIED OPPORTUNITIES FUND LTD.

Hedge Fund

$17.1M

Mar 11, 2019

Mar 28, 2012

dropped

021-221946

ROCHDALE ALTERNATIVE TOTAL RETURN OFFSHORE FUND

Hedge Fund

$16.4M

Mar 24, 2014

Mar 28, 2012

dropped

n/a

TRADE FINANCE INCOME FUND LIMITED

Hedge Fund

$11.9M

Jun 30, 2016

Mar 28, 2012

dropped

021-130795

ROCHDALE ROYALTY RIGHTS FUND

Other Private Fund

$4.2M

Jun 30, 2016

Mar 19, 2013

dropped

021-186921

SPECIAL OPPORTUNITIES FUND LTD.

Hedge Fund

Sep 10, 2026

Mar 28, 2012

reported

021-221948

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Daniel, Joby, Swankutty

BOARD DIRECTOR

yes

06/2024

Sep 10, 2026

GALLO, PHILIP

BOARD DIRECTOR

yes

08/2026

Sep 10, 2026

O'KEEFFE, IVOR, PATRICK

BOARD DIRECTOR

yes

11/2024

Sep 10, 2026

Riley, Shawn, David

BOARD DIRECTOR

yes

06/2024

Sep 10, 2026

WEBER, CHRISTINA, MARIE

CHIEF COMPLIANCE OFFICER

yes

02/2026

Sep 10, 2026

Williams, Brandon

CHAIRMAN OF THE BOARD

yes

02/2026

Sep 10, 2026

CITY NATIONAL BANK

MANAGING MEMBER OF CNR HOLDINGS, LLC

yes

07/2012

Jul 31, 2012

Jun 20, 2024

CITY NATIONAL ROCHDALE HOLDINGS, LLC.

MANAGING MEMBER

yes

05/2005

Mar 24, 2014

Jun 20, 2024

FREEMAN, WILLIAM, JAY

BOARD MEMBER

yes

07/2012

Jul 31, 2012

Jun 20, 2024

GIAQUINTO, GREGG, ROBERT

President

yes

02/2024

Jun 20, 2024

Levy, Rochelle, Beth

CHIEF COMPLIANCE OFFICER

yes

11/2022

Nov 1, 2022

Jun 20, 2024

LUKE, CHARLES, JUSTIN

CHIEF INVESTMENT OFFICER

yes

04/2024

Jun 20, 2024

RBC USA HOLDCO CORPORATION

Owner

yes

11/2015

Nov 24, 2015

Jun 20, 2024

ROYAL BANK OF CANADA

ULTIMATE OWNER

yes

11/2015

Nov 24, 2015

Jun 20, 2024

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

CITY NATIONAL SECURITIES, INC.

n/a

Bd affiliated wealth

$1.5B

yes

n/a

SYMPHONIC FINANCIAL ADVISORS LLC

n/a

Former SEC adviser

$125M

yes

n/a

CITY NATIONAL BANK

n/a

yes

CNR SECURITIES, LLC

n/a

yes

n/a

SYMPHONIC INSURANCE LLC

n/a

yes

n/a

SYMPHONIC SECURITIES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

BEVERLY HILLS

United States

yes

LAKE MARY

United States

Chicago

United States

Houston

United States

Irvine

United States

LA JOLLA

United States

Limerick

United States

Richmond

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 3, 2026

$73B

269

138

n/a

2024

Apr 24, 2025

$68B

235

126

n/a

2023

Jan 26, 2024

$60B

220

129

$38.8M

2022

Jan 27, 2023

$54B

300

100

$43.8M

2021

Jan 29, 2022

$58B

305

103

$45.2M

2020

Jan 30, 2021

$46B

315

108

$24.6M

2019

Jan 31, 2020

$43B

301

112

$28.7M

2018

Jan 31, 2019

$39B

274

137

$43.0M

2017

Jan 11, 2018

$36B

274

137

$43.0M

2016

Jan 9, 2017

$31B

241

137

n/a

$42.0M

2015

Mar 18, 2016

$28B

211

n/a

$72.1M

2014

Mar 27, 2015

$26B

208

115

n/a

$71.9M

2013

Mar 24, 2014

$22B

173

n/a

$100M

2012

Mar 19, 2013

$5.2B

105

n/a

$82.6M

2011

Mar 28, 2012

$4.7B

n/a

$67.5M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

9.2%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$73B

$68B

7.0%

$54B

10.4%

269

235

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Aug 28, 2023

Aug 1, 2023

NEW YORK, NY

Team lift out

Ibd to RIA

1.7%

RBC SECURITIES, INC.

Apr 19, 2022

Apr 28, 2022

NEW YORK, NY

Team lift out

Ibd to RIA

3.8%