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 Rochdale, LLC
Latest filing Sep 10, 2026
First filing on the tape Mar 28, 2012 · 76 filings
SEC status approved since Jun 20, 1986
RAUM
$73B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$50B individuals and HNW
Advisors
120
registered through the firm on IAPD
RAUM per advisor
$608M
derived; firm RAUM over IAPD count
Employees
269
138 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
76 filings and snapshots on the tape
RAUM$73B as of Jul 31, 2026
Mar 28, 2012$4.7B then
HNW client RAUM$50B as of Jul 31, 2026
Jan 11, 2018$25B then
State-registered IARs (5.B.3)122 as of Jul 31, 2026
Mar 19, 201346 then
Employees (5.A)269 as of Jul 31, 2026
Mar 19, 2013105 then
Private funds1 as of Jul 31, 2026
Mar 28, 20124 then
RAUM +7.0% over the last fiscal year+10% a year over threeIARs 109 to 122
Practice profile
derived from the filing of Sep 10, 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)
- RAUM per advisor
- $608MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 10.9derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$50B68%
- Investment companies$11B16%
- Corporations and businesses$7.9B11%
- Charitable organizations$2.1B2.8%
- Pension and profit-sharing plans$957M1.3%
- State and municipal entities$573M0.8%
- Individuals$153M0.2%
- Individual clients
- 391reported
- HNW clients
- 15,779reported
- Pension plan clients
- 180reported
- Charitable clients
- 122reported
- Accounts
- 42,770reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $43B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.69 fund_share=0.16 institutional_share=0.05 related_bd=true related_bank=false bd_reps=146.0derived
Advisors registered through the firm
119 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Elizabeth Teresa DooleyChartered Financial Analyst | New York, Ny | Mar 16, 2001 | 29 y | 0 |
| Ted G. Cox | Richmond, Va | Jul 24, 2001 | 25 y | 0 |
| Paul Michael Guerney | New York, Ny | Oct 5, 2001 | 25 y | 0 |
| Poul Erik Olsen | New York, Ny | Aug 12, 2003 | 31 y | 0 |
| Russell Evan Launer | New York, Ny | Jul 23, 2004 | 22 y | 0 |
| Kashif Sagheer AhmadChartered Financial Analyst | Freehold, Nj | Jan 4, 2007 | 26 y | 0 |
| John F KakolewskiChartered Financial Analyst | New York, Ny | Apr 6, 2009 | 20 y | 0 |
| Sheldon Craig Brandau | Oviedo, Fl | Feb 16, 2010 | 31 y | 1 |
| Jonathan Peter Doyle | New York, Ny | Mar 8, 2010 | 19 y | 1 |
| Lindsey Dawn Cook | Beverly Hills, Ca | Nov 4, 2010 | 19 y | 2 |
| Robert Michael MeckstrothChartered Financial Analyst | San Francisco, Ca | Jun 27, 2012 | 16 y | 0 |
| Michael Owen Adair | Sylacauga, Al | Aug 6, 2012 | 25 y | 4 |
| Jeffrey Sean WithrowChartered Financial Analyst | New York, Ny | Nov 1, 2012 | 16 y | 1 |
| Sean Christian Becker | La Jolla, Ca | Dec 7, 2012 | 14 y | 0 |
| Edward Gerard Pope | San Francisco, Ca | Jan 4, 2013 | 20 y | 2 |
| Terrence James LoughranChartered Financial Analyst | Irvine, Ca | Jan 11, 2013 | 19 y | 0 |
| Pamela Dawn NelsonChartered Financial Analyst | New York, Ny | Jan 11, 2013 | 21 y | 0 |
| Joseph M Bove | New York, Ny | Jan 31, 2013 | 13 y | 0 |
| Andrew Gregory BlockChartered Financial Analyst | Beverly Hills, Ca | Feb 5, 2013 | 17 y | 0 |
| Joseph James QuerrieraChartered Financial Analyst | Irvine, Ca | Feb 5, 2013 | 22 y | 0 |
| Boston Samuel RussellChartered Financial Analyst | New York, Ny | Apr 29, 2013 | 14 y | 0 |
| Richard Charles LimekillerCertified Financial Planner, Chartered Financial Analyst | Middletown, Nj | May 3, 2013 | 14 y | 0 |
| Valerie Michele Iacovelli | New York, Ny | May 30, 2013 | 16 y | 0 |
| Simon B P Chapman | La Mesa, Ca | Jun 29, 2013 | 29 y | 0 |
| Rachael M Crane | San Francisco, Ca | Jul 29, 2013 | 18 y | 2 |
| Charles David Boettcher | New York, Ny | Sep 5, 2013 | 19 y | 0 |
| Michael Kenneth Korzenko | New York, Ny | Nov 12, 2013 | 19 y | 3 |
| Wayne Albert TitcheChartered Financial Analyst | New York, Ny | Dec 26, 2013 | 23 y | 1 |
| Vern MontrossChartered Financial Analyst | Houston, Tx | Jan 10, 2014 | 16 y | 1 |
| Benjamin John Ludwig | Schweksville, Pa | Apr 9, 2014 | 27 y | 1 |
| Russell Michael MartinCertified Financial Planner, Chartered Financial Analyst | New York, Ny | May 19, 2014 | 13 y | 1 |
| Andrew James Austin | New York, Ny | Jul 22, 2014 | 12 y | 0 |
| Paul Single | New York, Ny | Aug 14, 2014 | 14 y | 0 |
| David Abraham Shapiro | Davie, Fl | Oct 15, 2014 | 21 y | 0 |
| Matthew Peter Clifford | Basking Ridge, Nj | Dec 5, 2014 | 14 y | 1 |
| Adrian Mory EngelChartered Financial Analyst | New York, Ny | Apr 9, 2015 | 11 y | 0 |
| Nicholas P CavallaroChartered Financial Analyst | New York, Ny | May 20, 2015 | 11 y | 0 |
| April Lynn Perez | New York, Ny | Sep 9, 2015 | 21 y | 1 |
| Julz M SchwinglerCertified Financial Planner, Chartered Financial Analyst | New York, Ny | Sep 16, 2015 | 32 y | 2 |
| Brian Arthur SalernoChartered Financial Analyst | Lake Mary, Fl | Oct 8, 2015 | 10 y | 0 |
Advisor movement
12 left, 9 joined in 12 months
net -3 in 12 months3 left in 90 days2 joined in 90 daysdeparture rate 10% of current headcount24 left over 36 months
Left, latest
- Michael Taila to Jefferies Investment Advisers LLCAug 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- Daniel Alfred Butterly to Advice And Planning ServicesJun 24, 2026 · Affiliated broker-dealer or bank to another
- Justin Al Renteria to Flagstar Securities, Inc.Jun 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- Tracey Graziosa to Cetera Investment Advisers LLCJun 12, 2026 · Affiliated broker-dealer or bank to another
- Jarrad Scott Schultz to Ieq Capital, LLCMay 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nicholas Thompson to Beacon TrustApr 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- David Harrison Goodless to Wealth Enhancement Advisory Services, LLCMar 4, 2026 · Affiliated broker-dealer or bank to another
- Cameron Jaimes Killeen to Capital Group Private Client Services, Inc.Mar 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Scott Joseph Pollaci to Osaic Wealth, Inc.Feb 24, 2026 · Affiliated broker-dealer or bank to another
- Alexander Meleis to Schwab Wealth Advisory, Inc.Dec 17, 2025 · Other
- Jacqueline Rivera to Citigroup Global Markets Inc.Sep 29, 2025 · Affiliated broker-dealer or bank to another
- Charles Paul Alberton to Sandro Wealth Management LLCSep 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jonathan E Taylor to Capital Group Private Client Services, Inc.Jun 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- Justin Pender to Morgan StanleyMay 21, 2025 · Affiliated broker-dealer or bank to wirehouse
- Jessica Diane Gardner to Ieq Capital, LLCApr 25, 2025 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Joseph Edward Baumgartner from Eagle Strategies LLCAug 27, 2026 · Affiliated broker-dealer or bank to another
- Gregory Thomas Brunck from RBC Securities, Inc.Jul 13, 2026 · Affiliated broker-dealer or bank to another
- Rayvon Solomon from Ameriprise Financial Services, LLCJun 9, 2026 · Affiliated broker-dealer or bank to another
- Michael Peter Corelli from Lisanti Capital Growth LLCMar 19, 2026 · Other
- Michael Erb from Citigroup Global Markets Inc.Feb 25, 2026 · Affiliated broker-dealer or bank to another
- Joshua Eric Reyes from UBS Financial Services Inc.Jan 27, 2026 · Wirehouse to affiliated broker-dealer or bank
- Bobby Sharan Gomez from Kestra Investment Management, LLC.Jan 9, 2026 · Other
- Cole Mathew Gest from Strategic Advisers LLCJan 9, 2026 · Affiliated broker-dealer or bank to another
- Josh Dreseris from Bny Mellon Advisors, Inc.Dec 18, 2025 · RIA to affiliated broker-dealer or bank
- Kevin Gerard Betts from Citigroup Global Markets Inc.Sep 12, 2025 · Affiliated broker-dealer or bank to another
- Albert Diaz from RBC Securities, Inc.Sep 5, 2025 · RIA to affiliated broker-dealer or bank
- Tracey Graziosa from J.P. Morgan Securities LLCSep 4, 2025 · Wirehouse to affiliated broker-dealer or bank
- Brian Moody from Stifel, Nicolaus & Company, IncorporatedJul 1, 2025 · Affiliated broker-dealer or bank to another
- Juan Carlos Ibanez from Ameriprise Financial Services, LLCJun 4, 2025 · Affiliated broker-dealer or bank to another
- Charles Justin Luke from Avalon Investment & AdvisoryFeb 7, 2025 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Wealth Enhancement Advisory Services, LLCAug 28, 2023 · New York, Ny
- 4 left for RBC Securities, Inc.Apr 19, 2022 · New York, Ny
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Diversified Opportunities Fund Ltd.no longer reported | Hedge Fund | $17.1M | 38 | Mar 28, 2012 |
| Rochdale Alternative Total Return Offshore Fundno longer reported | Hedge Fund | $16.4M | 42 | Mar 28, 2012 |
| Trade Finance Income Fund Limitedno longer reported | Hedge Fund | $11.9M | 65 | Mar 28, 2012 |
| Rochdale Royalty Rights Fundno longer reported | Other Private Fund | $4.2M | 33 | Mar 19, 2013 |
| Special Opportunities Fund Ltd. | Hedge Fund | $0 | 46 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Swankutty Joby Daniel · Board Directorcontrolsince 06/2024 · owns less than 5%
- Jay William Freeman · Board Membercontrolsince 07/2012 · owns less than 5%
- Philip Gallo · Board Directorcontrolsince 08/2026 · owns less than 5%
- Robert Gregg Giaquinto · Presidentcontrolsince 02/2024 · owns less than 5%
- Beth Rochelle Levy · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- Justin Charles Luke · Chief Investment Officercontrolsince 04/2024 · owns less than 5%
- Patrick Ivor O'Keeffe · Board Directorcontrolsince 11/2024 · owns less than 5%
- David Shawn Riley · Board Directorcontrolsince 06/2024 · owns less than 5%
- Marie Christina Weber · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
- Brandon Williams · Chairman Of The Boardcontrolsince 02/2026 · owns less than 5%
Entity owners
- City National Rochdale Holdings, LLC. · Managing Memberdirect · owns 75% or more
- City National Bank · Managing Member Of Cnr Holdings, LLCindirect · owns 75% or more of Cnr Holdings, LLC
- 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 USA Holdco Corporation · public reporting company
Related persons
Schedule D 7.A
- City National Bankcustodiany
- RBC Securities, Inc.broker-dealerinvestment advisernRAUM $1.5B
- Cnr Securities, LLCbroker-dealern
- RBC Capital Markets, LLCbroker-dealerinvestment advisertrust companyLP sponsorreal estatenRAUM $310B
- Symphonic Financial Advisors LLCinvestment advisernRAUM $125M
- Symphonic Insurance LLCreal estaten
- Symphonic Securities LLCbroker-dealern
Advisers that list RBC Rochdale, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 115 | 12 | 2 | ||
| San Francisco, Ca | 14 | 1 | 0 | ||
| Beverly Hills, Ca | 12 | 0 | 0 | ||
| Lake Mary, Fl | 9 | 1 | 0 | ||
| Houston, Tx | 6 | 0 | 0 | ||
| Irvine, Ca | 6 | 0 | 0 | ||
| Chicago, Il | 5 | 0 | 0 | ||
| Orlando, Fl | 3 | 0 | 0 | ||
| La Jolla, Ca | 3 | 0 | 0 | ||
| Brooklyn, Ny | 2 | 0 | 0 | ||
| Los Angeles, Ca | 2 | 0 | 3 | ||
| San Mateo, Ca | 2 | 0 | 0 | ||
| Huntington Beach, Ca | 2 | 0 | 0 | ||
| Oviedo, Fl | 1 | 0 | 1 | ||
| Pompton Plains, Nj | 0 | 0 | 1 | ||
| Pleasantville, Ny | 0 | 0 | 0 | ||
| Naples, Fl | 0 | 0 | 1 | ||
| Marina Del Rey, Ca | 0 | 0 | 1 | ||
| Santa Monica, Ca | 0 | 0 | 0 | ||
| Wayne, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA12 employees
- Beverly Hills, CA7 employees
- Lake Mary, FL4 employees
- Chicago, IL3 employees
- Houston, TX2 employees
- Richmond, VA1 employees
- La Jolla, CA1 employees
- Irvine, CA1 employees
- Limerick, PA1 employees
ADV anomalies
10 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 10, 2026O'KEEFFE, IVOR, PATRICK (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026Williams, Brandon (CHAIRMAN OF THE BOARD) appeared on Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026GALLO, PHILIP (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026WEBER, CHRISTINA, MARIE (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026Daniel, Joby, Swankutty (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026Riley, Shawn, David (BOARD DIRECTOR) appeared on Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026GIAQUINTO, GREGG, ROBERT (PRESIDENT) left Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026FREEMAN, WILLIAM, JAY (BOARD MEMBER) left Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026LUKE, CHARLES, JUSTIN (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 10, 2026Levy, Rochelle, Beth (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-06-20 and 2026-09-10peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jul 31, 2026 to Sep 10, 2026
- Private funds · 1 to unsetJul 31, 2026 to Sep 10, 2026
- Succession · false to unsetJul 31, 2026 to Sep 10, 2026
- Accounts · 42,671 to 42,770May 28, 2026 to Jul 31, 2026
- Other offices · 11 to 10May 28, 2026 to Jul 31, 2026
- Related bank · true to falseMay 28, 2026 to Jul 31, 2026
- Wrap assets (manager) · $39B to $43BMay 28, 2026 to Jul 31, 2026
- Wrap assets (sponsor) · $10B to $0May 28, 2026 to Jul 31, 2026
- Accounts · 41,300 to 42,671Oct 28, 2025 to Jan 29, 2026
- Advisory employees · 126 to 138Oct 28, 2025 to Jan 29, 2026
- BD registered reps · 117 to 146Oct 28, 2025 to Jan 29, 2026
- Business name · CITY NATIONAL ROCHDALE to RBC ROCHDALE, LLCOct 28, 2025 to Jan 29, 2026
- Charity clients · 137 to 122Oct 28, 2025 to Jan 29, 2026
- Corporate clients · 618 to 575Oct 28, 2025 to Jan 29, 2026
- HNW clients · 15,433 to 15,779Oct 28, 2025 to Jan 29, 2026
- Individual clients · 450 to 391Oct 28, 2025 to Jan 29, 2026
- Pension plan clients · 192 to 180Oct 28, 2025 to Jan 29, 2026
- Employees · 235 to 269Oct 28, 2025 to Jan 29, 2026
- State-registered IARs · 109 to 122Oct 28, 2025 to Jan 29, 2026
- Legal name · CITY NATIONAL ROCHDALE, LLC to RBC ROCHDALE, LLCOct 28, 2025 to Jan 29, 2026
- Other offices · 10 to 11Oct 28, 2025 to Jan 29, 2026
- Discretionary RAUM · $68B to $73BOct 28, 2025 to Jan 29, 2026
- HNW RAUM · $45B to $50BOct 28, 2025 to Jan 29, 2026
- Individual RAUM · $157M to $153MOct 28, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $57.7M to $117MOct 28, 2025 to Jan 29, 2026
- Pension RAUM · $906M to $957MOct 28, 2025 to Jan 29, 2026
- RAUM · $68B to $73BOct 28, 2025 to Jan 29, 2026
- Wrap assets (manager) · $35B to $39BOct 28, 2025 to Jan 29, 2026
- Wrap assets (sponsor) · $10B to $10BOct 28, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 0Apr 24, 2025 to Oct 28, 2025
- Accounts · 43,108 to 41,300Jun 20, 2024 to Jan 27, 2025
- Advisory employees · 129 to 126Jun 20, 2024 to Jan 27, 2025
- BD registered reps · 152 to 117Jun 20, 2024 to Jan 27, 2025
- Charity clients · 138 to 137Jun 20, 2024 to Jan 27, 2025
- Corporate clients · 664 to 618Jun 20, 2024 to Jan 27, 2025
- HNW clients · 15,584 to 15,433Jun 20, 2024 to Jan 27, 2025
- Individual clients · 1,086 to 450Jun 20, 2024 to Jan 27, 2025
- Pension plan clients · 213 to 192Jun 20, 2024 to Jan 27, 2025
- Employees · 220 to 235Jun 20, 2024 to Jan 27, 2025
- State-registered IARs · 125 to 109Jun 20, 2024 to Jan 27, 2025
Signals
60 dated events
- Michael Taila left Rbc Rochdale, Llc for Jefferies Investment Advisers Llc (registered 2026-08-11)Aug 25, 2026 · Advisor changed firm · fact
- Daniel Alfred Butterly left Rbc Rochdale, Llc for Advice And Planning Services (registered 2026-06-30)Jun 24, 2026 · Advisor changed firm · fact
- Justin Al Renteria left Rbc Rochdale, Llc for Flagstar Securities, Inc. (registered 2026-07-29)Jun 24, 2026 · Advisor changed firm · fact
- Tracey Graziosa left Rbc Rochdale, Llc for Cetera Investment Advisers Llc (registered 2026-06-02)Jun 12, 2026 · Advisor changed firm · fact
- Jarrad Scott Schultz left Rbc Rochdale, Llc for Ieq Capital, Llc (registered 2026-06-01)May 28, 2026 · Advisor changed firm · fact
- Nicholas Thompson left Rbc Rochdale, Llc for Beacon Trust (registered 2026-04-29)Apr 23, 2026 · Advisor changed firm · fact
- Cameron Jaimes Killeen left Rbc Rochdale, Llc for Capital Group Private Client Services, Inc. (registered 2026-04-06)Mar 4, 2026 · Advisor changed firm · fact
- David Harrison Goodless left Rbc Rochdale, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-02-10)Mar 4, 2026 · Advisor changed firm · fact
- Scott Joseph Pollaci left Rbc Rochdale, Llc for Osaic Wealth, Inc. (registered 2026-03-03)Feb 24, 2026 · Advisor changed firm · fact
- Alexander Meleis left Rbc Rochdale, Llc for Schwab Wealth Advisory, Inc. (registered 2025-12-18)Dec 17, 2025 · Advisor changed firm · fact
- Jacqueline Rivera left Rbc Rochdale, Llc for Citigroup Global Markets Inc. (registered 2025-11-18)Sep 29, 2025 · Advisor changed firm · fact
- Charles Paul Alberton left Rbc Rochdale, Llc for Sandro Wealth Management Llc (registered 2025-10-01)Sep 17, 2025 · Advisor changed firm · fact
- Jonathan E Taylor left Rbc Rochdale, Llc for Capital Group Private Client Services, Inc. (registered 2025-10-30)Jun 20, 2025 · Advisor changed firm · fact
- Justin Pender left Rbc Rochdale, Llc for Morgan Stanley (registered 2025-09-26)May 21, 2025 · Advisor changed firm · fact
- Jessica Diane Gardner left Rbc Rochdale, Llc for Ieq Capital, Llc (registered 2025-05-12)Apr 25, 2025 · Advisor changed firm · fact
- Erin Lee Patak left Rbc Rochdale, Llc for Corient (registered 2025-05-12)Apr 21, 2025 · Advisor changed firm · fact
- Yash Sunil Patil left Rbc Rochdale, Llc for Agentech Equities, Llc (registered 2025-11-26)Dec 10, 2024 · Advisor changed firm · fact
- Steven Anthony Denike left Rbc Rochdale, Llc for Sandro Wealth Management Llc (registered 2025-01-30)Dec 2, 2024 · Advisor changed firm · fact
- Adam Todd Elover left Rbc Rochdale, Llc for Lpl Financial Llc (registered 2024-10-08)Oct 18, 2024 · Advisor changed firm · fact
- Justin Charles Luke (Chief Investment Officer) appeared on Schedule A of Rbc Rochdale, LlcJun 20, 2024 · Control person joined · fact
- Robert Gregg Giaquinto (President) appeared on Schedule A of Rbc Rochdale, LlcJun 20, 2024 · Control person joined · fact
- 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)Jun 20, 2024 · Control person left · inference
- A Thomas Galvin (Chief Investment Officer) no longer on Schedule A of Rbc Rochdale, Llc (listed 2024-05-30, absent 2024-06-20)Jun 20, 2024 · Control person left · inference
- Thomas A Galvin left Rbc Rochdale, Llc for Sandro Wealth Management Llc (registered 2024-12-16)May 17, 2024 · Advisor changed firm · fact
- Nicholas Marc Pagonis left Rbc Rochdale, Llc for Leucadia Asset Management Llc (registered 2024-04-22)Apr 10, 2024 · Advisor changed firm · fact
- Jared R Mcdaniel left Rbc Rochdale, Llc for Cornerstone Wealth (registered 2024-04-08)Mar 28, 2024 · Advisor changed firm · fact
- Adam B Gorlyn left Rbc Rochdale, Llc for Citizens Private Wealth (registered 2024-12-19)Nov 3, 2023 · Advisor changed firm · fact
- Garrett Richard D'Alessandro left Rbc Rochdale, Llc for Symphonic Financial Advisors Llc (registered 2005-09-09)Oct 25, 2023 · Advisor changed firm · fact
- Richard Garrett D'Alessandro (Chief Executive Officer) no longer on Schedule A of Rbc Rochdale, Llc (listed 2023-05-05, absent 2023-10-25)Oct 25, 2023 · Control person left · inference
- Steven Robert Petrovich left Rbc Rochdale, Llc for Jefferies Investment Advisers Llc (registered 2025-04-17)Sep 15, 2023 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/RBC-ROCHDALEreportedpublic record, Form ADV, Sep 17, 2026
- Website
- RBCROCHDALE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-702-3500reportedpublic record, Form ADV, Sep 10, 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
- $608Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026