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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CITY NATIONAL ASSET MANAGEMENT, INC.

CRD 111759

BEVERLY HILLS, CA

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:b8d8971c-abe3-186e-2eda-7f9c987a0414

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2013
6 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: $6.0BItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.0B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 60
Advisory employees: 16
Accounts: 15
SEC number: 801-60150
CRD: 111759
Filings on the tape: 6
First filed: Mar 30, 2012
Latest filed: Mar 28, 2013
Organised: Corporation, California

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
CITY NATIONAL BANK	Owner	E	yes	03/2001	Mar 30, 2012	Mar 28, 2013
CITY NATIONAL CORPORATION	Owner	E	yes	03/2001	Mar 30, 2012	Mar 28, 2013
HEALD, OTTIS	SENIOR VICE PRESIDENT, DIRECTOR - EQUITY INVESTMENTS	Na	yes	06/2010	Mar 30, 2012	Mar 28, 2013
KAPLAN, GREGORY, STANTON	SENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS	Na	yes	06/2010	Mar 30, 2012	Mar 28, 2013
MASLOW, MICHELE, CAROLE	CHIEF FINANCIAL OFFICER	Na	yes	03/2001	Mar 30, 2012	Mar 28, 2013
MILLER, WILLIAM, C	SENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS	Na	yes	06/2010	Mar 30, 2012	Mar 28, 2013
SINGLE, PAUL	SENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS	Na	yes	06/2010	Mar 30, 2012	Mar 28, 2013
FRANCOEUR, GREGORY, PAUL	SENIOR VICE PRESIDENT & DIRECTOR	Na	no	06/2010	Mar 30, 2012	Mar 28, 2013
FREEMAN, WILLIAM, JAY	SENIOR VICE PRESIDENT & DIRECTOR	Na	no	06/2010	Mar 30, 2012	Mar 28, 2013
FRIES, JULIANNE, MARIE	CHIEF COMPLIANCE OFFICER	Na	no	08/2012	Mar 28, 2013	Mar 28, 2013
SIMON, BRUCE, DAVID	CHAIRMAN AND PRESIDENT	Na	no	02/2011	Mar 30, 2012	Mar 28, 2013
SOLBERG, TIMOTHY, GEORGE ALBERT	SENIOR VICE PRESIDENT, DIRECTOR - SUB-ADVISED FUNDS	Na	no	01/2011	Mar 30, 2012	Mar 28, 2013

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
ROCHDALE INVESTMENT MANAGEMENT LLC	n/a	Bd affiliated wealth	$73B	N	yes	n/a
LEE MUNDER CAPITAL GROUP, LLC	n/a	Mixed wealth	$6.8B	N	yes	n/a
CLIFFORD SWAN INVESTMENT COUNSEL LLC	n/a	Independent wealth	$4.5B	N	yes	n/a
MID-CONTINENT CAPITAL LLC	n/a	Former SEC adviser	$4.0B	N	yes	n/a
CITY NATIONAL SECURITIES, INC.	n/a	Bd affiliated wealth	$1.5B	N	yes	n/a
AMBS INVESTMENT COUNSEL LLC	n/a	Former SEC adviser	$476M	N	yes	n/a
SYMPHONIC FINANCIAL ADVISORS LLC	n/a	Former SEC adviser	$125M	N	yes	n/a
CONVERGENT WEALTH ADVISORS, LLC	n/a	Former SEC adviser	$19.5M	N	yes	n/a
CITY NATIONAL BANK	n/a	n/a	n/a	Y	yes	n/a
RIM 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

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
2012	Mar 28, 2013	$6.0B	$6.0B	60	16	n/a	n/a	n/a
2011	Mar 30, 2012	$6.1B	$6.1B	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
2012	$6.0B	$6.1B	-1.5%	n/a	n/a	60	n/a	n/a	n/a

Relationships

Affiliated with (8)

→ RBC SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ AMBS INVESTMENT COUNSEL LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MID-CONTINENT CAPITAL LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CLIFFORD SWAN INVESTMENT COUNSELORSRegistered adviserother investment adviser, common control
factForm ADV
→ RBC ROCHDALE, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SYMPHONIC FINANCIAL ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CONVERGENT WEALTH ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ LMCG INVESTMENTS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Owns (5)

← SOLBERG, TIMOTHY, GEORGE ALBERTOwnerSENIOR VICE PRESIDENT, DIRECTOR - SUB-ADVISED FUNDS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FRIES, JULIANNE, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← SIMON, BRUCE, DAVIDOwnerCHAIRMAN AND PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FRANCOEUR, GREGORY, PAULOwnerSENIOR VICE PRESIDENT & DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FREEMAN, WILLIAM, JAYOwnerSENIOR VICE PRESIDENT & DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Controls (7)

← SINGLE, PAULOwnerSENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MILLER, WILLIAM, COwnerSENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HEALD, OTTISOwnerSENIOR VICE PRESIDENT, DIRECTOR - EQUITY INVESTMENTS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← KAPLAN, GREGORY, STANTONOwnerSENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MASLOW, MICHELE, CAROLEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CITY NATIONAL BANKOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CITY NATIONAL CORPORATIONOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8d8971c-abe3-186e-2eda-7f9c987a0414
First observed: Mar 30, 2012
Last observed: Mar 28, 2013 164 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.

CITY NATIONAL ASSET MANAGEMENT, INC.

CRD 111759

BEVERLY HILLS, CA

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:b8d8971c-abe3-186e-2eda-7f9c987a0414

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CITY NATIONAL BANK

Owner

yes

03/2001

Mar 30, 2012

Mar 28, 2013

CITY NATIONAL CORPORATION

Owner

yes

03/2001

Mar 30, 2012

Mar 28, 2013

HEALD, OTTIS

SENIOR VICE PRESIDENT, DIRECTOR - EQUITY INVESTMENTS

yes

06/2010

Mar 30, 2012

Mar 28, 2013

KAPLAN, GREGORY, STANTON

SENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS

yes

06/2010

Mar 30, 2012

Mar 28, 2013

MASLOW, MICHELE, CAROLE

CHIEF FINANCIAL OFFICER

yes

03/2001

Mar 30, 2012

Mar 28, 2013

MILLER, WILLIAM, C

SENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS

yes

06/2010

Mar 30, 2012

Mar 28, 2013

SINGLE, PAUL

SENIOR VICE PRESIDENT, DIRECTOR - FIXED INCOME INVESTMENTS

yes

06/2010

Mar 30, 2012

Mar 28, 2013

FRANCOEUR, GREGORY, PAUL

SENIOR VICE PRESIDENT & DIRECTOR

06/2010

Mar 30, 2012

Mar 28, 2013

FREEMAN, WILLIAM, JAY

SENIOR VICE PRESIDENT & DIRECTOR

06/2010

Mar 30, 2012

Mar 28, 2013

FRIES, JULIANNE, MARIE

CHIEF COMPLIANCE OFFICER

08/2012

Mar 28, 2013

SIMON, BRUCE, DAVID

CHAIRMAN AND PRESIDENT

02/2011

Mar 30, 2012

Mar 28, 2013

SOLBERG, TIMOTHY, GEORGE ALBERT

SENIOR VICE PRESIDENT, DIRECTOR - SUB-ADVISED FUNDS

01/2011

Mar 30, 2012

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROCHDALE INVESTMENT MANAGEMENT LLC

n/a

Bd affiliated wealth

$73B

yes

n/a

LEE MUNDER CAPITAL GROUP, LLC

n/a

Mixed wealth

$6.8B

yes

n/a

CLIFFORD SWAN INVESTMENT COUNSEL LLC

n/a

Independent wealth

$4.5B

yes

n/a

MID-CONTINENT CAPITAL LLC

n/a

Former SEC adviser

$4.0B

yes

n/a

CITY NATIONAL SECURITIES, INC.

n/a

Bd affiliated wealth

$1.5B

yes

n/a

AMBS INVESTMENT COUNSEL LLC

n/a

Former SEC adviser

$476M

yes

n/a

SYMPHONIC FINANCIAL ADVISORS LLC

n/a

Former SEC adviser

$125M

yes

n/a

CONVERGENT WEALTH ADVISORS, LLC

n/a

Former SEC adviser

$19.5M

yes

n/a

CITY NATIONAL BANK

n/a

yes

n/a

RIM SECURITIES LLC

n/a

yes

n/a

SYMPHONIC INSURANCE LLC

n/a

yes

n/a

SYMPHONIC SECURITIES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$6.0B

n/a

2011

Mar 30, 2012

$6.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$6.0B

$6.1B

-1.5%

n/a