DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
RBC Securities, Inc.
Latest filing May 29, 2026
First filing on the tape Mar 30, 2012 · 54 filings
SEC status approved since Mar 22, 2010
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$1.2B individuals and HNW
Advisors
122
registered through the firm on IAPD
RAUM per advisor
$12.4M
derived; firm RAUM over IAPD count
Employees
186
124 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$1.5B as of May 29, 2026
Mar 30, 2012$213M then
HNW client RAUM$814M as of May 29, 2026
Jan 31, 2018$336M then
State-registered IARs (5.B.3)116 as of May 29, 2026
Apr 1, 201333 then
Employees (5.A)186 as of May 29, 2026
Apr 1, 201333 then
Private funds: no history
RAUM -4.8% over the last fiscal year+0.0% a year over threeIARs 37 to 116offices 18 to 24
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $12.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $850,703derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.9derived25 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +214%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.5BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$814M54%
- Individuals$372M25%
- Corporations and businesses$162M11%
- Charitable organizations$89.4M5.9%
- Pension and profit-sharing plans$77.7M5.1%
- Individual clients
- 955reported
- HNW clients
- 337reported
- Pension plan clients
- 52reported
- Charitable clients
- 25reported
- Accounts
- 1,781reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $1.5B sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.11 related_bd=true related_bank=true bd_reps=183.0derived
Advisors registered through the firm
122 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Joseph NunneleeCertified Financial Planner | Los Angeles, Ca | Apr 1, 2010 | 33 y | 0 |
| Larry Thomas Olea | Los Angeles, Ca | Apr 1, 2010 | 30 y | 1 |
| Vincent TropeaCertified Financial Planner | Los Angeles, Ca | Apr 15, 2010 | 32 y | 2 |
| Vibhore BhaskarCertified Financial Planner | Los Angeles, Ca | Oct 21, 2011 | 20 y | 1 |
| Sara Kiyomi Ritter | Los Angeles, Ca | Feb 25, 2014 | 28 y | 0 |
| Marjan Shokri | Beverly Hills, Ca | Feb 25, 2014 | 25 y | 1 |
| Patrick Anthony DwyerCertified Financial Planner | Beverly Hills, Ca | Feb 26, 2014 | 25 y | 1 |
| Herald William Podger | San Francisco, Ca | Feb 26, 2014 | 25 y | 2 |
| Roy Martinez | Santa Barbara, Ca | May 23, 2014 | 18 y | 3 |
| Leo Peter HamillChartered Financial Analyst | New York, Ny | May 23, 2014 | 31 y | 4 |
| Amber Kay OrtizCertified Financial Planner | Montecito, Ca | May 29, 2014 | 18 y | 2 |
| Michael Patrick Comorre | Beverly Hills, Ca | Jun 16, 2014 | 22 y | 0 |
| Kristin Marie Stansbury FlaianiCertified Financial Planner | Walnut Creek, Ca | Aug 28, 2014 | 25 y | 0 |
| Andrew Jason Wachner | Concord, Ca | Dec 17, 2014 | 13 y | 1 |
| John Charles BrouillardChartered Financial Analyst | New York, Ny | Mar 13, 2015 | 15 y | 1 |
| Christopher Tai Hippisley Coxe | Los Angeles, Ca | Mar 31, 2015 | 26 y | 0 |
| Shannon M Chavez | Los Angeles, Ca | Jun 9, 2015 | 14 y | 2 |
| Craig Douglas KelleyCertified Financial Planner | Los Angeles, Ca | Sep 4, 2015 | 28 y | 0 |
| Valerie Zeigher | New York, Ny | Nov 6, 2015 | 15 y | 1 |
| Basil Edmund ConroyCertified Financial Planner | New York, Ny | Mar 29, 2016 | 34 y | 2 |
| Rafael G Mendez | Torrance, Ca | May 18, 2016 | 21 y | 1 |
| Emanuel Delgado | La Palma, Ca | Aug 29, 2016 | 17 y | 0 |
| Matthew Steiger | Los Angeles, Ca | Nov 7, 2016 | 13 y | 1 |
| Cheryl A Rigali | New York, Ny | Jan 3, 2017 | 15 y | 2 |
| Narek Mnatsakanian | Los Angeles, Ca | Mar 21, 2017 | 12 y | 0 |
| David Matthew Terrell | Torrance, Ca | Mar 23, 2017 | 30 y | 4 |
| Margarita Perez | Los Angeles, Ca | Jul 26, 2017 | 37 y | 1 |
| Ali M Banki | Los Angeles, Ca | Sep 6, 2017 | 16 y | 3 |
| David Jay Ohanian | Irvine, Ca | Dec 5, 2017 | 30 y | 5 |
| Aaron James Malardino | Irvine, Ca | Mar 13, 2018 | 14 y | 2 |
| Armando David Feighl | Laguna Niguel, Ca | Mar 20, 2018 | 19 y | 1 |
| Erik Kristian Larsen | La Crescenta, Ca | May 31, 2018 | 24 y | 2 |
| Richard George Engbrecht | San Diego, Ca | May 31, 2018 | 23 y | 3 |
| Raymond Anthony Martinez | Azusa, Ca | Jun 11, 2018 | 21 y | 3 |
| Susan Koron | Beverly Hills, Ca | Aug 23, 2018 | 22 y | 1 |
| Wayne George Rogers | Orange, Ca | Sep 12, 2018 | 25 y | 1 |
| Nora Kouza | El Cajo, Ca | Jan 16, 2019 | 14 y | 1 |
| Haroon Sattari | Oakland, Ca | Feb 27, 2019 | 13 y | 1 |
| Michael Anderson CheathamCertified Financial Planner | Los Angeles, Ca | May 22, 2019 | 16 y | 1 |
| Natalia Markowycz | New York, Ny | Jun 3, 2019 | 10 y | 0 |
Advisor movement
10 left, 16 joined in 12 months
net +6 in 12 months3 left in 90 days8 joined in 90 daysdeparture rate 8.2% of current headcount38 left over 36 months
Left, latest
- Xavier Oliver Steiner to Raymond James & Associates, Inc.Jul 16, 2026 · Affiliated broker-dealer or bank to another
- Matthew Guillory to LPL Financial LLCJul 16, 2026 · Affiliated broker-dealer or bank to another
- Gregory Thomas Brunck to RBC Rochdale, LLCJul 10, 2026 · Affiliated broker-dealer or bank to another
- John Christopher Vizcarra to Raymond James & Associates, Inc.Jun 10, 2026 · Affiliated broker-dealer or bank to another
- Sylvia Garcia to Raymond James & Associates, Inc.Jun 9, 2026 · Affiliated broker-dealer or bank to another
- Sameer Ferrell to Advice And Planning ServicesJun 9, 2026 · Affiliated broker-dealer or bank to another
- Fred Giordan Grischott to Raymond James & Associates, Inc.Jun 9, 2026 · Affiliated broker-dealer or bank to another
- Anthony Edward Rodriguez to Raymond James & Associates, Inc.Jun 9, 2026 · Affiliated broker-dealer or bank to another
- Michael Anthony Lange to First Citizens Investor Services, Inc.Jan 29, 2026 · Affiliated broker-dealer or bank to another
- Anthony St Stephen Richardson to Citigroup Global Markets Inc.Sep 29, 2025 · RIA to affiliated broker-dealer or bank
- Albert Diaz to RBC Rochdale, LLCSep 9, 2025 · RIA to affiliated broker-dealer or bank
- Marques J Dickson to Ameriprise Financial Services, LLCAug 1, 2025 · RIA to affiliated broker-dealer or bank
- Joshua Steven Gelber to Truist Advisory Services, Inc.Jul 11, 2025 · RIA to affiliated broker-dealer or bank
- Nicole Shao to Cetera Investment Advisers LLCApr 25, 2025 · RIA to affiliated broker-dealer or bank
- Colin C Beamish to LPL Financial LLCApr 25, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Zhengnan Xu from Cetera Investment Advisers LLCAug 28, 2026 · Affiliated broker-dealer or bank to another
- Jared Markham from J.P. Morgan Securities LLCAug 28, 2026 · Wirehouse to affiliated broker-dealer or bank
- Iuliia Malysheva from Equitable Advisors, LLCAug 26, 2026 · Affiliated broker-dealer or bank to another
- Matthew Dustin Jacobson from Equitable Advisors, LLCAug 12, 2026 · Affiliated broker-dealer or bank to another
- Lavinia Alice Boettcher from Strategic Advisers LLCJul 20, 2026 · Affiliated broker-dealer or bank to another
- Roy Chia Jen Lin from U.S. Bancorp Advisors, LLCJul 9, 2026 · Affiliated broker-dealer or bank to another
- David Michael Patton from Wells Fargo AdvisorsJul 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- Blake Austin Soto from Navy Federal Investment Services, LLCJun 29, 2026 · Affiliated broker-dealer or bank to another
- Ramon Ramos from LPL Financial LLCJun 10, 2026 · Affiliated broker-dealer or bank to another
- Cheryl Maria Keilman from Wells Fargo AdvisorsMay 18, 2026 · Wirehouse to affiliated broker-dealer or bank
- Kurtis L Munoz from Raymond James & Associates, Inc.Mar 17, 2026 · Affiliated broker-dealer or bank to another
- Dustin W Hansen from U.S. Bancorp Investments, Inc.Mar 6, 2026 · Affiliated broker-dealer or bank to another
- Konstantin Solomon Prives from Flagstar Securities, Inc.Mar 4, 2026 · RIA to affiliated broker-dealer or bank
- Amr Elgamal from Ameriprise Financial Services, LLCMar 2, 2026 · Affiliated broker-dealer or bank to another
- Gary Friedle from J.P. Morgan Securities LLCFeb 26, 2026 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Raymond James & Associates, Inc.Jun 9, 2026 · Los Angeles, Ca
- 3 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 31, 2024 · Los Angeles, Ca
- 2 left for First Foundation AdvisorsOct 30, 2015 · Los Angeles, Ca
- 4 joined from RBC Rochdale, LLCApr 19, 2022 · New York, Ny
- 2 joined from U.S. Bancorp Advisors, LLCJan 3, 2019 · San Diego, Ca
- 2 joined from Citigroup Global Markets Inc.Jun 5, 2018 · Los Angeles, Ca
- 3 joined from U.S. Bancorp Advisors, LLCMar 12, 2018 · Mission Viejo, Ca
- 2 joined from U.S. Bancorp Advisors, LLCNov 28, 2017 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Joseph Barton · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- Joby Swankutty Daniel · Board Directorcontrolsince 06/2024 · owns less than 5%
- Gregory Paul Francoeur · Directorcontrolsince 06/2010 · owns less than 5%
- Gregg Giaquinto · Board Directorcontrolsince 02/2024 · owns less than 5%
- Rochelle Beth Levy · Chief Compliance Officer - Registered Investment Advisercontrolsince 11/2022 · owns less than 5%
- William John Jr Maguire · President & Chief Executive Officercontrolsince 09/2025 · owns less than 5%
- Ivor Patrick O'Keeffe · Chief Operating Officer & Board Directorcontrolsince 09/2024 · owns less than 5%
- Shawn David Riley · Board Directorcontrolsince 06/2024 · owns less than 5%
- David Matthew Terrell · Sr. Vice Presidentcontrolsince 03/2017 · owns less than 5%
- Santiago Avila Bretado · Vp & Chief Financial Officersince 02/2019 · owns less than 5%
Entity owners
- City National Bank · Sole Shareholderdirect · owns 75% or more
- RBC USA Holdco Corporation · Ownerdirect · owns 75% or more
- RBC US Group Holdings, LLC · Direct Ownerindirect · owns 75% or more of RBC USA Holdco Corporation
- RBC USA Holdco Corporation · Ownerindirect · owns 75% or more of City National Bank
- Royal Bank Of Canada · Ultimate Ownerindirect · owns 75% or more of RBC US Group Holdings, LLC · public reporting company
Related persons
Schedule D 7.A
- City National Bankcustodiany
- RBC Rochdale, LLCinvestment adviserbankpooled vehicle sponsorreal estatenRAUM $73B
- RBC USA Holdcoy
- Royal Bank Of Canaday
- Symphonic Financial Advisors LLCinvestment advisernRAUM $125M
- Symphonic Insurance LLCreal estaten
- Symphonic Securities LLCbroker-dealern
Advisers that list RBC Securities, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 64 | 12 | 3 | 1 | |
| New York, Ny | 31 | 7 | 1 | ||
| Irvine, Ca | 13 | 3 | 0 | ||
| Torrance, Ca | 13 | 6 | 0 | ||
| San Francisco, Ca | 12 | 3 | 0 | ||
| Beverly Hills, Ca | 11 | 3 | 0 | ||
| Las Vegas, Nv | 7 | 1 | 0 | ||
| La Jolla, Ca | 7 | 1 | 0 | ||
| Pasadena, Ca | 7 | 1 | 0 | ||
| Walnut Creek, Ca | 5 | 1 | 0 | ||
| Solana Beach, Ca | 4 | 1 | 0 | ||
| San Diego, Ca | 4 | 0 | 1 | ||
| Glendale, Ca | 3 | 0 | 0 | ||
| Oakland, Ca | 3 | 0 | 0 | ||
| Santa Barbara, Ca | 3 | 0 | 0 | ||
| Melville, Ny | 2 | 1 | 0 | ||
| Montecito, Ca | 2 | 0 | 0 | ||
| Culver City, Ca | 2 | 0 | 0 | ||
| Commerce, Ca | 2 | 0 | 0 | ||
| Henderson, Nv | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beverly Hills, CA3 employees
- Los Angeles, CA2 employees
- New York, NY2 employees
- Glendale, CA1 employees
- Burlingame, CA1 employees
- Walnut Creek, CA1 employees
- Solana Beach, CA1 employees
- Westlake Village, CA1 employees
- Torrance, CA1 employees
- Newport Beach, CA1 employees
- Santa Monica, CA1 employees
- Burbank, CA1 employees
- Los Angeles, CA1 employees
- Los Angeles, CA1 employees
- Riverside, CA1 employees
- San Francisco, CA1 employees
- Sherman Oaks, CA1 employees
- Las Vegas, NV1 employees
ADV anomalies
12 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing May 29, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.5 (48 comparable advisers, 100.0th percentile, 4.7 robust deviations)peers: affiliated wealth managers, $1B to $5B (48) · 100% percentile
- high institutional concentrationStatic outlier · filing May 29, 2026institutional share of RAUM of 11% against a peer median of 1% (56 comparable advisers, 98.0th percentile, 3.5 robust deviations)peers: affiliated wealth managers, $1B to $5B (56) · 98% percentile
- control person changedChange between filings · filing May 29, 2026MAGUIRE, WILLIAM JOHN JR (PRESIDENT & CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing May 29, 2026GIAQUINTO, GREGG (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing May 29, 2026DANIEL, JOBY SWANKUTTY (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing May 29, 2026RILEY, SHAWN DAVID (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing May 29, 2026TERRELL, DAVID MATTHEW (SR. VICE PRESIDENT) left Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing May 29, 2026FRANCOEUR, GREGORY PAUL (DIRECTOR) left Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing May 29, 2026LEVY, ROCHELLE BETH (CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER) left Schedule A between the filings of 2024-10-04 and 2026-05-29peers: affiliated wealth managers, $1B to $5B (56)
- advisors up RAUM flatCombination · filing Feb 5, 2026the advisor count grew 25 percent or more while RAUM stayed within 5 percent: hiring or an acquisition ahead of assets, or assets that did not follow. RAUM $1,591,349,877 to $1,515,102,638, advisors 37 to 116, private clients 1468 to 1292, offices 18 to 24 (2025-04-24 to 2026-02-05)peers: affiliated wealth managers, $1B to $5B (56)
- advisor count surgeChange between filings · filing Feb 5, 2026advisory representatives (Item 5.B.3) moved from 37.0 to 116.0 (+214.0%) between the annual amendments of 2025-04-24 and 2026-02-05; the peer median change was 0.0% (50 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 100% percentile
- employee count surgeChange between filings · filing Feb 5, 2026employees (Item 5.A) moved from 78.0 to 186.0 (+138.0%) between the annual amendments of 2025-04-24 and 2026-02-05; the peer median change was +1.0% (52 comparable advisers, 98.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,004 to 1,781Apr 24, 2025 to Jan 29, 2026
- Advisory employees · 37 to 124Apr 24, 2025 to Jan 29, 2026
- BD registered reps · 38 to 183Apr 24, 2025 to Jan 29, 2026
- Business name · CITY NATIONAL SECURITIES, INC. to RBC SECURITIES, INC.Apr 24, 2025 to Jan 29, 2026
- Charity clients · 21 to 25Apr 24, 2025 to Jan 29, 2026
- Corporate clients · 95 to 82Apr 24, 2025 to Jan 29, 2026
- HNW clients · 352 to 337Apr 24, 2025 to Jan 29, 2026
- Individual clients · 1,116 to 955Apr 24, 2025 to Jan 29, 2026
- Pension plan clients · 54 to 52Apr 24, 2025 to Jan 29, 2026
- Employees · 78 to 186Apr 24, 2025 to Jan 29, 2026
- Financial planning clients · More than 500 to 101-250Apr 24, 2025 to Jan 29, 2026
- State-registered IARs · 37 to 116Apr 24, 2025 to Jan 29, 2026
- Legal name · CITY NATIONAL SECURITIES, INC. to RBC SECURITIES, INC.Apr 24, 2025 to Jan 29, 2026
- Other offices · 18 to 24Apr 24, 2025 to Jan 29, 2026
- Discretionary RAUM · $1.6B to $1.5BApr 24, 2025 to Jan 29, 2026
- HNW RAUM · $803M to $814MApr 24, 2025 to Jan 29, 2026
- Individual RAUM · $424M to $372MApr 24, 2025 to Jan 29, 2026
- Pension RAUM · $83.3M to $77.7MApr 24, 2025 to Jan 29, 2026
- RAUM · $1.6B to $1.5BApr 24, 2025 to Jan 29, 2026
- Wrap assets (sponsor) · $1.6B to $1.5BApr 24, 2025 to Jan 29, 2026
- Financial planning clients · More than 500 to More than 500Mar 4, 2025 to Apr 24, 2025
- Accounts · 2,126 to 2,004Nov 29, 2024 to Jan 28, 2025
- Advisory employees · 47 to 37Nov 29, 2024 to Jan 28, 2025
- BD registered reps · 47 to 38Nov 29, 2024 to Jan 28, 2025
- Charity clients · 20 to 21Nov 29, 2024 to Jan 28, 2025
- Corporate clients · 102 to 95Nov 29, 2024 to Jan 28, 2025
- HNW clients · 303 to 352Nov 29, 2024 to Jan 28, 2025
- Individual clients · 1,241 to 1,116Nov 29, 2024 to Jan 28, 2025
- Pension plan clients · 55 to 54Nov 29, 2024 to Jan 28, 2025
- Employees · 47 to 78Nov 29, 2024 to Jan 28, 2025
- Insurance-licensed employees · 1 to 0Nov 29, 2024 to Jan 28, 2025
- State-registered IARs · 47 to 37Nov 29, 2024 to Jan 28, 2025
- Discretionary RAUM · $1.5B to $1.6BNov 29, 2024 to Jan 28, 2025
- HNW RAUM · $687M to $803MNov 29, 2024 to Jan 28, 2025
- Individual RAUM · $461M to $424MNov 29, 2024 to Jan 28, 2025
- Pension RAUM · $71.4M to $83.3MNov 29, 2024 to Jan 28, 2025
- RAUM · $1.5B to $1.6BNov 29, 2024 to Jan 28, 2025
- Wrap assets (sponsor) · $1.5B to $1.6BNov 29, 2024 to Jan 28, 2025
- Accounts · 2,278 to 2,126Feb 12, 2023 to Jan 26, 2024
- Advisory employees · 48 to 47Feb 12, 2023 to Jan 26, 2024
Signals
60 dated events
- Xavier Oliver Steiner left Rbc Securities, Inc. for Raymond James & Associates, Inc. (registered 2026-07-07)Jul 16, 2026 · Advisor changed firm · fact
- Matthew Guillory left Rbc Securities, Inc. for Lpl Financial Llc (registered 2026-08-19)Jul 16, 2026 · Advisor changed firm · fact
- Gregory Thomas Brunck left Rbc Securities, Inc. for Rbc Rochdale, Llc (registered 2026-07-13)Jul 10, 2026 · Advisor changed firm · fact
- John Christopher Vizcarra left Rbc Securities, Inc. for Raymond James & Associates, Inc. (registered 2026-05-12)Jun 10, 2026 · Advisor changed firm · fact
- Sameer Ferrell left Rbc Securities, Inc. for Advice And Planning Services (registered 2026-06-12)Jun 9, 2026 · Advisor changed firm · fact
- Sylvia Garcia left Rbc Securities, Inc. for Raymond James & Associates, Inc. (registered 2026-05-12)Jun 9, 2026 · Advisor changed firm · fact
- Anthony Edward Rodriguez left Rbc Securities, Inc. for Raymond James & Associates, Inc. (registered 2026-05-12)Jun 9, 2026 · Advisor changed firm · fact
- 4 advisors left RBC Securities, Inc. (Los Angeles, CA) for Raymond James & Associates, Inc. a day apartJun 9, 2026 · Team lift-out · derived
- Fred Giordan Grischott left Rbc Securities, Inc. for Raymond James & Associates, Inc. (registered 2026-05-12)Jun 9, 2026 · Advisor changed firm · fact
- Rbc Securities, Inc. reported 24 offices beyond its principal office, up from 18 (2025-04-24 to 2026-01-29)Jan 29, 2026 · Office count change · derived
- Michael Anthony Lange left Rbc Securities, Inc. for First Citizens Investor Services, Inc. (registered 2026-02-06)Jan 29, 2026 · Advisor changed firm · fact
- Rbc Securities, Inc. reported 116 state-registered advisory representatives, up from 37 (2025-04-24 to 2026-01-29)Jan 29, 2026 · Advisor headcount change · derived
- Anthony St Stephen Richardson left Rbc Securities, Inc. for Citigroup Global Markets Inc. (registered 2025-09-23)Sep 29, 2025 · Advisor changed firm · fact
- Albert Diaz left Rbc Securities, Inc. for Rbc Rochdale, Llc (registered 2025-09-05)Sep 9, 2025 · Advisor changed firm · fact
- Marques J Dickson left Rbc Securities, Inc. for Ameriprise Financial Services, Llc (registered 2025-07-18)Aug 1, 2025 · Advisor changed firm · fact
- Joshua Steven Gelber left Rbc Securities, Inc. for Truist Advisory Services, Inc. (registered 2025-06-30)Jul 11, 2025 · Advisor changed firm · fact
- Nicole Shao left Rbc Securities, Inc. for Cetera Investment Advisers Llc (registered 2025-04-30)Apr 25, 2025 · Advisor changed firm · fact
- Colin C Beamish left Rbc Securities, Inc. for Lpl Financial Llc (registered 2025-04-09)Apr 25, 2025 · Advisor changed firm · fact
- Raymundo Flores left Rbc Securities, Inc. for Clifford Swan Investment Counselors (registered 2025-06-30)Mar 31, 2025 · Advisor changed firm · fact
- Charles Ray Brown left Rbc Securities, Inc. for Raymond James & Associates, Inc. (registered 2025-03-13)Mar 26, 2025 · Advisor changed firm · fact
- Michael Jeffrey Richards left Rbc Securities, Inc. for Axos Invest, Inc (registered 2025-04-08)Mar 25, 2025 · Advisor changed firm · fact
- Sarah Schermerhorn left Rbc Securities, Inc. for Rbc Capital Markets, Llc (registered 2025-03-12)Mar 12, 2025 · Advisor changed firm · fact
- Adam Gourley left Rbc Securities, Inc. for Mariner Advisor Network (registered 2025-05-30)Feb 28, 2025 · Advisor changed firm · fact
- Nicholas Barnett left Rbc Securities, Inc. for Wells Fargo Advisors (registered 2025-02-06)Feb 27, 2025 · Advisor changed firm · fact
- Rbc Securities, Inc. reported 37 state-registered advisory representatives, down from 47 (2024-11-29 to 2025-01-28)Jan 28, 2025 · Advisor headcount change · derived
- Thomas George Dolby left Rbc Securities, Inc. for Schwab Wealth Advisory, Inc. (registered 2025-07-03)Jan 24, 2025 · Advisor changed firm · fact
- Michael Joseph Nunnelee (President/Chairman) no longer on Schedule A of Rbc Securities, Inc. (listed 2024-05-30, absent 2024-10-04)Oct 4, 2024 · Control person left · inference
- Ivor Patrick O'Keeffe (President) appeared on Schedule A of Rbc Securities, Inc.Oct 4, 2024 · Control person joined · fact
- Paul Alexander Couch left Rbc Securities, Inc. for Wells Fargo Advisors (registered 2024-08-08)Sep 6, 2024 · Advisor changed firm · fact
- Alex Gitelson left Rbc Securities, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-08-21)Aug 9, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- cnr.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-888-6400reportedpublic record, Form ADV, May 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026