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.

Former SEC-registered adviser

Royal Bank Of Canada Investment Management(USA) Limited

Former SEC-registered adviserLondon, CRD 112284SEC 801-55108IAPD

Latest filing Jan 29, 2018

First filing on the tape Jan 30, 2012 · 19 filings

RAUM

$352M

reported, Item 5.F

Discretionary

3.1%

of RAUM

Private clients

4.8%

$17.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$352M as of Jan 29, 2018

Jan 30, 2012$796M then

HNW client RAUM: $17.0M

State-registered IARs (5.B.3)7 as of Jan 29, 2018

Jan 30, 201314 then

Employees (5.A)18 as of Jan 29, 2018

Jan 30, 201329 then

Private funds: no history

RAUM -54% over the last fiscal year-28% a year over threeIARs 13 to 7

Practice profile

derived from the filing of Jan 29, 2018; every figure names its basis

RAUM per advisor: $50.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.3MderivedHNW RAUM over HNW clients
Average account: $9.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 3.1%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.6derivedItem 5.A over advisors
Advisors per office: 7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -54%derivedbetween the last two annual amendments
Advisor growth, one year: -46%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Custody: yesreportedItem 9.A
Ownership: a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

has discretionary authority over which securities are bought or sold (8.C.1)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
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

Corporations and businesses$335M95%
High-net-worth individuals$17.0M4.8%

Individual clients: n/areported
HNW clients: 13reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 37reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

Christopher James Girdler to RBC Private Counsel (USA) Inc.
Jan 29, 2018 · Other
Michael Geoffrey Greenwood to Schroder Wealth Management (US) Limited
Jan 4, 2018 · Other
Martin John Heale to Schroder Wealth Management (US) Limited
Jul 14, 2017 · Other
Janette Clare Saxer to Schroder Wealth Management (US) Limited
Jul 13, 2017 · Other
Tracy L Maeter to J.P. Morgan Securities LLC
Mar 18, 2013 · Other

Joined, latest

none on the tape

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Schroder Wealth Management (US) Limited
Jul 13, 2017 · London

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Robert Mark Clatworthy · Operations Officer & Directorcontrol
since 01/2010 · owns less than 5%
Richard Scott Currin · Money Laundering Officercontrol
since 09/2015 · owns less than 5%
Lee Daniel Ellis · Chief Executive Officer And Directorcontrol
since 11/2013 · owns less than 5%
Timothy Fletcher · Directorcontrol
since 10/2011 · owns less than 5%
Ross Nevill Christopher Jennings · Directorcontrol
since 09/2017 · owns less than 5%
Rosentjerne Stephen Krag · Director (Non-Executive)control
since 02/2014 · owns less than 5%
William Bruce Maclaren · Chief Risk Officercontrol
since 08/2015 · owns less than 5%
Saul Mark Pearlman · Chief Financial Officercontrol
since 05/2017 · owns less than 5%
David Rawlinson · Chief Compliance Officer, Wealth Management Londoncontrol
since 01/2016 · owns less than 5%
Niall Wilson · Risk Officercontrol
since 07/2014 · owns less than 5%

Entity owners

Royal Bank Of Canada Investment Management (Uk) Ltd · Direct Parent
direct · owns 75% or more
Royal Bank Of Canada · Parent Company
indirect · owns 75% or more of Royal Bank Of Canada Holdings (Uk) Ltd · public reporting company
Royal Bank Of Canada Holdings (Uk) Ltd · Indirect Parent
indirect · owns 75% or more of Royal Bank Of Canada Investment Management Uk Ltd

Related persons

Schedule D 7.A

RBC Capital Markets, LLC
broker-dealerinvestment advisertrust companyLP sponsorreal estatenRAUM $310B
RBC Europe Limited
broker-dealern
RBC Global Asset Management (U.S.) Inc.
investment adviserbanknRAUM $104B
RBC Global Asset Management (Uk) Limited
investment advisernRAUM $178B
RBC Global Asset Management Inc
investment adviserbankn
Royal Bank Of Canada
CPO or CTAy
Royal Bank Of Canada (Channel Islands) Limited
custodiann
Royal Bank Of Canada Investment Management (Uk) Limited
investment advisery

Advisers that list Royal Bank Of Canada Investment Management(USA) Limited as a related person

122793 n
164530 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 61 to 37
Feb 27, 2017 to Jan 29, 2018
Advisory employees · 5 to 2
Feb 27, 2017 to Jan 29, 2018
Corporate clients · unset to 24.0
Feb 27, 2017 to Jan 29, 2018
HNW clients · unset to 13.0
Feb 27, 2017 to Jan 29, 2018
Employees · 25 to 18
Feb 27, 2017 to Jan 29, 2018
State-registered IARs · 13 to 7
Feb 27, 2017 to Jan 29, 2018
Other offices · unset to 0.0
Feb 27, 2017 to Jan 29, 2018
Discretionary RAUM · $50.8M to $10.8M
Feb 27, 2017 to Jan 29, 2018
HNW RAUM · unset to 16994130.0
Feb 27, 2017 to Jan 29, 2018
Non-discretionary RAUM · $721M to $341M
Feb 27, 2017 to Jan 29, 2018
RAUM · $771M to $352M
Feb 27, 2017 to Jan 29, 2018
Advisory employees · 6 to 5
Feb 9, 2016 to Jan 27, 2017
Assets in custody · $809M to $0
Feb 9, 2016 to Jan 27, 2017
State-registered IARs · 15 to 13
Feb 9, 2016 to Jan 27, 2017
Discretionary RAUM · $50.3M to $50.8M
Feb 9, 2016 to Jan 27, 2017
Non-discretionary RAUM · $758M to $721M
Feb 9, 2016 to Jan 27, 2017
RAUM · $809M to $771M
Feb 9, 2016 to Jan 27, 2017
Accounts · 62 to 61
Sep 17, 2015 to Jan 29, 2016
Advisory employees · 9 to 6
Sep 17, 2015 to Jan 29, 2016
Assets in custody · $928M to $809M
Sep 17, 2015 to Jan 29, 2016
Employees · 28 to 25
Sep 17, 2015 to Jan 29, 2016
State-registered IARs · 17 to 15
Sep 17, 2015 to Jan 29, 2016
Discretionary RAUM · $70.2M to $50.3M
Sep 17, 2015 to Jan 29, 2016
Non-discretionary RAUM · $858M to $758M
Sep 17, 2015 to Jan 29, 2016
RAUM · $928M to $809M
Sep 17, 2015 to Jan 29, 2016
Assets in custody · unset to 928158428.0
Jun 11, 2015 to Aug 3, 2015
Custody of client assets · false to true
Jun 11, 2015 to Aug 3, 2015
Accounts · 59 to 62
Jan 31, 2014 to Jan 29, 2015
Advisory employees · 8 to 9
Jan 31, 2014 to Jan 29, 2015
Employees · 27 to 28
Jan 31, 2014 to Jan 29, 2015
State-registered IARs · 16 to 17
Jan 31, 2014 to Jan 29, 2015
Discretionary RAUM · $75.9M to $70.2M
Jan 31, 2014 to Jan 29, 2015
Non-discretionary RAUM · $788M to $858M
Jan 31, 2014 to Jan 29, 2015
RAUM · $864M to $928M
Jan 31, 2014 to Jan 29, 2015
Accounts · 63 to 59
Mar 19, 2013 to Jan 29, 2014
Advisory employees · 7 to 8
Mar 19, 2013 to Jan 29, 2014
Assets in custody · 767779216.0 to unset
Mar 19, 2013 to Jan 29, 2014
Custody of client assets · true to false
Mar 19, 2013 to Jan 29, 2014
Employees · 29 to 27
Mar 19, 2013 to Jan 29, 2014
State-registered IARs · 14 to 16
Mar 19, 2013 to Jan 29, 2014

Signals

1 dated events

Royal Bank Of Canada Investment Management(Usa) Limited reported RAUM $352.2M, down 54% from $771.4M (2017-02-27 to 2018-01-29)
Jan 29, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026