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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

R•• C•••••• M••••••• L••

National broker-dealer RIANew York, New YorkCRD 31194SEC 801-13059website IAPD

Latest filing Sep 15, 2026

First filing on the tape Dec 19, 2011 · 225 filings

SEC status approved since Jun 2, 1977

RAUM

$310B

reported, Item 5.F

Discretionary

76%

of RAUM

Private clients

90%

$281B individuals and HNW

Advisors

3,840

registered through the firm on IAPD

RAUM per advisor

$80.8M

derived; firm RAUM over IAPD count

Employees

8,781

5,908 advisory (5.B.1)

Offices

382

beyond the principal office

Private funds

reported on Schedule D

History

225 filings and snapshots on the tape

RAUM$310B as of Aug 24, 2026

Jan 27, 2012$45B then

HNW client RAUM$98B as of Aug 24, 2026

Jan 29, 2018$21B then

State-registered IARs (5.B.3)3,750 as of Aug 24, 2026

Jan 29, 20132,708 then

Employees (5.A)8,781 as of Aug 24, 2026

Jan 29, 20136,823 then

Private funds: no history

RAUM +19% over the last fiscal year+19% a year over threeIARs 3,600 to 3,750offices 360 to 382

Practice profile

derived from the filing of Sep 15, 2026; every figure names its basis

Archetypes, each a printed rule

b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
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)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $80.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 72derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.0MderivedHNW RAUM over HNW clients
Average account: $606,459derivedRAUM over accounts (5.F.2.f)
Discretionary: 76%derivedof RAUM
Institutional: 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.3derivedItem 5.A over advisors
Advisors per office: 10.0derived383 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +4.2%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.4%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program: $310BreportedItem 5.I
Custody: $309B, 282,307 clientsreportedItem 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
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)
the adviser acts as qualified custodian (9.D.1)
a related person acts as qualified custodian (9.D.2)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$182B59%
High-net-worth individuals$98B32%
Corporations and businesses$14B4.5%
Charitable organizations$11B3.5%
Pension and profit-sharing plans$2.7B0.9%
State and municipal entities$1.2B0.4%
Pooled investment vehicles$652M0.2%
Insurance companies$445M0.1%
Banks and thrifts$55.6M0.0%

Individual clients: 263,588reported
HNW clients: 12,350reported
Pension plan clients: 2,335reported
Charitable clients: 2,222reported
Accounts: 511,871reported
Financial planning clients: 51-100reported
Wrap fee programs: $75B sponsored, $0 managedreported
Custody of client assets: $309B for 282,307 clientsreported
Compensation: % of AUM, fixedreported
Class basis: curated national broker-dealer listderived

Advisors registered through the firm

3,841 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
C•••••• K•••• O••••	Bainbridge Island, Wa	Aug 27, 1991	40 y
W•••••• T••••• B••••••	Kirkland, Wa	Jul 5, 1994	32 y
M•••••• A•••• G•••	Seattle, Wa	Jan 13, 1995	32 y
M••• W•••• B•••••	Seattle, Wa	Jan 23, 1996	41 y
K••••••• A••••• O••••	Edmonds, Wa	Mar 11, 1996	42 y
S••••• R•••••• H•••	Reno, Nv	Sep 16, 1996	42 y
T••••• H•••• W••••••••	Indio, Ca	Nov 19, 1996	36 y
N••••• K• N•••••••	Kirkland, Wa	Nov 21, 1996	30 y
S•••••• M••• T•••••••	Mercer Island, Wa	Feb 25, 1997	42 y
D•••• S•••• K•••••	Billings, Mt	Mar 12, 1997	33 y
P•••••• D••••• E••••••	Bainbridge Island, Wa	Mar 20, 1997	40 y
J••• A•• G••••••••	Midland, Tx	Mar 2, 1998	33 y
B•••• A•••••••• C••••••	Longview, Tx	Mar 2, 1998	34 y
L•••• J••• C••••	Milwaukee, Wi	Mar 2, 1998	28 y
C•••••••• L••••• S•••••••••	Milwaukee, Wi	Mar 2, 1998	33 y
K•• A•••••• C•••••	Seattle, Wa	Apr 6, 1998	41 y
D••••• J••••• K•••	Brookfield, Wi	Apr 15, 1998	41 y
L•••• B••••• D••••••	Edina, Mn	Apr 15, 1998	33 y
G•••••• S•••••• P•••••	Appleton, Wi	Apr 15, 1998	42 y
J••••• J••• W••••••	Milwaukee, Wi	Apr 15, 1998	42 y
D•••••• E••••• A••••	Venice, Fl	Apr 15, 1998	41 y
S•••• I••••	Naples, Fl	Apr 15, 1998	45 y
L•••• A••• L••••••	Milwaukee, Wi	Apr 15, 1998	42 y
P••••••• W• K••••••	Milwaukee, Wi	Apr 15, 1998	45 y
T••••• L•• Q••••••	Eau Claire, Wi	Apr 15, 1998	40 y
S•••• R••••• W•••	Brookfield, Wi	Apr 15, 1998	42 y
J••• E••••• L•••••	Bonita Springs, Fl	Apr 15, 1998	42 y
J•••• M•••••• W••••••	Hartland, Wi	Apr 15, 1998	44 y
S•••••• J•••• J••••••	Spokane, Wa	Apr 23, 1998	38 y
A•••••• J•••• H•••••	Buffalo Grove, Il	Aug 3, 1998	45 y
P•••• S•••••• M•••••••	Oakbrook Terrace, Il	Aug 3, 1998	37 y
D•••• J••• K••••	Long Grove, Il	Aug 3, 1998	46 y
E•••••• G••••••••	Wilmington, De	Aug 18, 1998	35 y
R•••• L••• R••••••••	Port Washington, Wi	Nov 2, 1998	27 y
J•••• C••••••• O••••	Kirkland, Wa	Nov 18, 1998	34 y
T••••• L•••• C••••••	Denver, Co	Jan 1, 1999	43 y
M•••••• R•••••• R•••••	Clive, Ia	Jan 1, 1999	33 y
J•••• R••••• J••••••	Greenwood Village, Co	Jan 1, 1999	41 y
J••• W•••••• M•••	Clive, Ia	Jan 1, 1999	42 y
A••••• J•••• M••••	Fort C•••••S, Co	Jan 1, 1999	29 y

All 3,841 advisors at R•• C•••••• M••••••• L••

Advisor movement

138 left, 231 joined in 12 months

net +93 in 12 months41 left in 90 days55 joined in 90 daysdeparture rate 3.6% of current headcount440 left over 36 months

Left, latest

B•••••• S••••• to S••••• P•••••• W•••••
Sep 4, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
C••• A•••••• H•••• to L•• F•••••••• L••
Sep 4, 2026 · Affiliated broker-dealer or bank to another
E•••• A• F•••••• to S••••• P•••••• W•••••
Sep 4, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
B•••••• J••••• L••••••• to S••••• P•••••• W•••••
Sep 4, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
E•••• A•• S••••••••• to L•• F•••••••• L••
Sep 4, 2026 · Affiliated broker-dealer or bank to another
C••• F•••••••• N••••• to L•• F•••••••• L••
Sep 2, 2026 · Affiliated broker-dealer or bank to another
B•••••• W••••• C••••• to I•• C••••••• L••
Aug 28, 2026 · Affiliated broker-dealer or bank to independent RIA
W•••••• E•••••• G•••••• to I•• C••••••• L••
Aug 28, 2026 · Affiliated broker-dealer or bank to independent RIA
D••••• J•••• H•••••• to L•• F•••••••• L••
Aug 26, 2026 · Affiliated broker-dealer or bank to another
S•••••• A••••• B••••• to L•• F•••••••• L••
Aug 26, 2026 · Affiliated broker-dealer or bank to another
A••••• K••••• to A••••••••• F•••••••• S•••••••• L••
Aug 21, 2026 · Affiliated broker-dealer or bank to another
K•••• A•• R•••• to R•••••• J•••• • A••••••••• I•••
Aug 21, 2026 · Affiliated broker-dealer or bank to another
C••••• G••••• to A••••••••• F•••••••• S•••••••• L••
Aug 21, 2026 · Affiliated broker-dealer or bank to another
D•••••• O•••••••• to A••••••••• F•••••••• S•••••••• L••
Aug 21, 2026 · Affiliated broker-dealer or bank to another
J•••• M••••• A•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Aug 14, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

A•••••• J•••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
A••••• G• C•••••••• from M••••• S••••••
Sep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
D••• J••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
K•••• P•••••• W••••• from C••••••• M••••••••• I••••••••• A•••••••• L••
Sep 14, 2026 · Other
C••••• L••• A••••••• from L•••••••• T••••••• A•••• M••••••••• I••
Sep 14, 2026 · Other
L••• M•••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
G••• D•••••• from E••••• J••••
Sep 8, 2026 · Affiliated broker-dealer or bank to another
O•••••• A•••••• O•••••• from M••••• S••••••
Sep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
J••••• D• N•••• from A••••••••• F•••••••• S•••••••• L••
Sep 4, 2026 · Affiliated broker-dealer or bank to another
R••••• L•••• Z••••• from R•••••• J•••• • A••••••••• I•••
Sep 2, 2026 · Affiliated broker-dealer or bank to another
B•••••• R•••••• from M••••• S••••••
Sep 1, 2026 · Wirehouse to affiliated broker-dealer or bank
T•••• S••••• from T••••••• I••••••••• M••••••••• I•••
Sep 1, 2026 · Affiliated broker-dealer or bank to another
D•••• F••••• from M••••• S••••••
Aug 31, 2026 · Wirehouse to affiliated broker-dealer or bank
J••• B•••••• I•••• from S•••••••• A••••••• L••
Aug 24, 2026 · Affiliated broker-dealer or bank to another
N••••• C•••• S••••••• from T••••••• I••••••••• M••••••••• I•••
Aug 21, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

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

3 left for S••••• P•••••• W•••••
Sep 4, 2026 · Vienna, Va
2 left for L•• F•••••••• L••
Sep 4, 2026 · Fresno, Ca
2 left for I•• C••••••• L••
Aug 28, 2026 · San F••••••Co, Ca
3 left for L•• F•••••••• L••
Aug 26, 2026 · Inver Grove Heights, Mn
3 left for A••••••••• F•••••••• S•••••••• L••
Aug 21, 2026 · Denver, Co
3 left for R••••• W• B•••• • C•• I•••••••••
Jul 16, 2026 · Fall C•••, Wa
2 left for W•••• F•••• A•••••••
Jul 16, 2026 · Greenwich, Ct
3 left for W•••• F•••• A•••••••
Jul 16, 2026 · Rye, Ny

2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 11, 2026 · San Diego, Ca
2 joined from M••••• S••••••
Aug 24, 2026 · Washington, Dc
2 joined from M••••• S••••••
Aug 6, 2026 · Washington, Dc
4 joined from U•• F•••••••• S••••••• I•••
Aug 6, 2026 · Palm Beach Gardens, Fl
4 joined from S•••••• N••••••• • C••••••• I•••••••••
Jul 29, 2026 · Dallas, Tx
2 joined from S•••••• N••••••• • C••••••• I•••••••••
Jul 8, 2026 · Covington, Ky
2 joined from O•••• I••••••••• I•••
Jun 22, 2026 · Dover, Nh
2 joined from U•• F•••••••• S••••••• I•••
Jun 12, 2026 · Salt Lake C•••, Ut

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• P••• A••• · Chief Compliance Officer, RBC Capital M•••••• - U.S.control
since 07/2022 · owns less than 5%
E••••••• K•••••• E•••••••• · Chief Risk Officer, USAcontrol
since 12/2022 · owns less than 5%
G••••••••• R••••• A••••• · Principal Financial Officercontrol
since 04/2020 · owns less than 5%
G•••••••• D•••• T•••••• · Co-Head Of U.S. Capital M•••••• Law Groupcontrol
since 10/2022 · owns less than 5%
L••••••• M•••••• C••• · Co-Head Of U.S. Capital M•••••• Law Groupcontrol
since 10/2022 · owns less than 5%
M•••••• T••••• N• · US Capital M•••••• Principal Operations Officercontrol
since 10/2016 · owns less than 5%
O•••••••• S••• W••••• · Chief Compliance Officer, RBC Wealth Management - U.S.control
since 09/2024 · owns less than 5%
P•••• J••• C••••••••• · General C••••••control
since 12/2021 · owns less than 5%
S•••••••• T••••• S••••• · President Of RBC Wealth Managementcontrol
since 04/2016 · owns less than 5%
S••••••••• C•••• L••••• · US Wealth Management Principal Operations Officercontrol
since 04/2024 · owns less than 5%
S••••• A•• M•••• · Directorcontrol
since 06/2022 · owns less than 5%
S•••••••• V••• A•••••• · Director, Ceo Of U.S. Capital M••••••control
since 09/2024 · owns less than 5%
T•••••• B•••• L••• · President, RBC Clearing & Custodycontrol
since 08/2016 · owns less than 5%
T••••••• J••• J• · Chief Operating Officer & Chairman Of The Boardcontrol
since 05/2015 · owns less than 5%
T•••••• S•••••• M•••• · Chief Compliance Officer Of Wm-US' Registered Investment Advisor
since 07/2022 · owns less than 5%

Entity owners

R•• U•• H••••• C••••••••• · Direct Owner
direct · owns 75% or more
R•• U• G•••• H••••••• L•• · Indirect Owner
indirect · owns 75% or more of R•• U•• H••••• C•••••••••
R•••• B••• O• C••••• · Ultimate Owner
indirect · owns 75% or more of R•• U• G•••• H••••••• L•• · public reporting company

Related persons

Schedule D 7.A

C••• N••••••• B•••
n
RBC R•••••••, LLC
investment advisernRAUM $73B
R•• B••• ••••••••• N•••
n
R•• C•• L••
broker-dealern
R•• D••••••• S••••••••• I•••
broker-dealertrust companyn
R•• E••••• L••••••
broker-dealern
R•• G••••• A•••• M••••••••• ••••• I•••
investment adviserbanknRAUM $104B
R•• G••••• A•••• M••••••••• ••• L••••••
investment advisernRAUM $178B
R•• I••••••• S••••••• T••••
custodiann
R•• M•••••••• P•••••••• L••
pooled vehicle sponsorn
R•• P•••••••• H•••• • N•••• I••••••••• C•••••• I•••
investment advisern
R•• P•••••• C•••••• •••• I•••
investment advisernRAUM $7.9B
R•• S••••••••• A•••••••• P•• L•••
broker-dealern
R•• T•• C••••• E•••••• L••
n
R•• T•••• C•••••• ••••••••• L••••••
LP sponsorn
R•••• B••• O• C•••••
CPO or CTAy
R•••• B••• O• C••••• ••••••• I••••••• L••••••
custodiann
T•• T•••••••• A••••••
y

Advisers that list R•• C•••••• M••••••• L•• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Minneapolis, Mn	286	32	2
New York, Ny · principal	209	33	4
Florham Park, Nj	122	14	0
Seattle, Wa	88	10	3
Wayzata, Mn	85	6	0
Vienna, Va	79	12	2	1
Houston, Tx	69	12	1
Edina, Mn	66	5	2
Boston, Ma	59	10	1
Dallas, Tx	59	12	3	1
San F••••••Co, Ca	58	7	3	1
Beverly H•••S, Ca	56	3	1
Leawood, Ks	51	3	0
Baltimore, Md	49	3	2	1
Atlanta, Ga	48	1	0
Boca Raton, Fl	45	2	0
Chevy Chase, Md	44	2	0
Palm Beach Gardens, Fl	43	8	0
Greenwood Village, Co	43	3	0
Hunt Valley, Md	43	2	0

Offices

Schedule D 1.F, the 25 largest

Minneapolis, MN274 employees
Florham Park, NJ127 employees
New York, NY78 employees
Seattle, WA76 employees
San F••••••Co, CA57 employees
Beverly H•••S, CA55 employees
Denver, CO52 employees
Chevy Chase, MD51 employees
Edina, MN50 employees
Vienna, VA50 employees
Leawood, KS42 employees
Greenwood Village, CO41 employees
Hunt Valley, MD39 employees
Conshohocken, PA38 employees
Dallas, TX36 employees
Palm Beach Gardens, FL34 employees
Wayzata, MN34 employees
Boston, MA32 employees
Washington, DC30 employees
Kirkland, WA29 employees
Annapolis, MD29 employees
Minnetonka, MN28 employees
Walnut Creek, CA27 employees
Atlanta, GA25 employees
Portland, OR22 employees

What changed

consecutive filings, newest first

Financial planning clients · 51-100 to 51-100
Aug 24, 2026 to Sep 15, 2026
Succession · false to unset
Aug 24, 2026 to Sep 15, 2026
Accounts · 477,674 to 511,871
Dec 22, 2025 to Jan 28, 2026
Advisory employees · 5,680 to 5,908
Dec 22, 2025 to Jan 28, 2026
BD registered reps · 6,211 to 6,457
Dec 22, 2025 to Jan 28, 2026
Charity clients · 2,335 to 2,222
Dec 22, 2025 to Jan 28, 2026
Corporate clients · 3,005 to 3,071
Dec 22, 2025 to Jan 28, 2026
HNW clients · 11,746 to 12,350
Dec 22, 2025 to Jan 28, 2026
Individual clients · 273,853 to 263,588
Dec 22, 2025 to Jan 28, 2026
Pension plan clients · 2,400 to 2,335
Dec 22, 2025 to Jan 28, 2026
Pooled vehicle clients · 18 to 17
Dec 22, 2025 to Jan 28, 2026
Assets in custody · $259B to $309B
Dec 22, 2025 to Jan 28, 2026
Employees · 8,476 to 8,781
Dec 22, 2025 to Jan 28, 2026
Financial planning clients · 26-50 to 51-100
Dec 22, 2025 to Jan 28, 2026
State-registered IARs · 3,600 to 3,750
Dec 22, 2025 to Jan 28, 2026
Other offices · 360 to 382
Dec 22, 2025 to Jan 28, 2026
Discretionary RAUM · $197B to $235B
Dec 22, 2025 to Jan 28, 2026
HNW RAUM · $73B to $98B
Dec 22, 2025 to Jan 28, 2026
Individual RAUM · $161B to $182B
Dec 22, 2025 to Jan 28, 2026
Non-discretionary RAUM · $63B to $75B
Dec 22, 2025 to Jan 28, 2026
Pension RAUM · $3.1B to $2.7B
Dec 22, 2025 to Jan 28, 2026
Pooled vehicle RAUM · $576M to $652M
Dec 22, 2025 to Jan 28, 2026
RAUM · $260B to $310B
Dec 22, 2025 to Jan 28, 2026
Wrap assets (sponsor) · $66B to $75B
Dec 22, 2025 to Jan 28, 2026
Financial planning clients · 26-50 to 26-50
May 14, 2025 to Jun 27, 2025
Accounts · 451,404 to 477,674
Nov 21, 2024 to Jan 31, 2025
Advisory employees · 2,042 to 5,680
Nov 21, 2024 to Jan 31, 2025
BD registered reps · 6,064 to 6,211
Nov 21, 2024 to Jan 31, 2025
Charity clients · 2,016 to 2,335
Nov 21, 2024 to Jan 31, 2025
Corporate clients · 2,798 to 3,005
Nov 21, 2024 to Jan 31, 2025
HNW clients · 6,688 to 11,746
Nov 21, 2024 to Jan 31, 2025
Individual clients · 243,146 to 273,853
Nov 21, 2024 to Jan 31, 2025
Pension plan clients · 2,315 to 2,400
Nov 21, 2024 to Jan 31, 2025
Assets in custody · $201B to $259B
Nov 21, 2024 to Jan 31, 2025
Employees · 8,204 to 8,476
Nov 21, 2024 to Jan 31, 2025
State-registered IARs · 3,509 to 3,600
Nov 21, 2024 to Jan 31, 2025
Other offices · 320 to 360
Nov 21, 2024 to Jan 31, 2025
Discretionary RAUM · $148B to $197B
Nov 21, 2024 to Jan 31, 2025
HNW RAUM · $48B to $73B
Nov 21, 2024 to Jan 31, 2025
Individual RAUM · $133B to $161B
Nov 21, 2024 to Jan 31, 2025

Signals

60 dated events

Diana Lara Zapata registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 17, 2026 · Advisor registered · fact
C••••• L••• A••••••• added a TX registration at R•• C•••••• M••••••• L••
Sep 17, 2026 · New state registration · fact
O•••••• A•••••• O•••••• added a TX registration at R•• C•••••• M••••••• L••
Sep 17, 2026 · New state registration · fact
A•••••• J•••• C•••••••• registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 16, 2026 · Advisor registered · fact
D•••• F••••• added a NJ registration at R•• C•••••• M••••••• L••
Sep 16, 2026 · New state registration · fact
K•••• M Sanders registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 15, 2026 · Advisor registered · fact
Tyler Hoeksema added a IA registration at R•• C•••••• M••••••• L••
Sep 15, 2026 · New state registration · fact
K•••• P•••••• W••••• registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 14, 2026 · Advisor registered · fact
C••••• L••• A••••••• registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 14, 2026 · Advisor registered · fact
D••• J••••• H••••• registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 14, 2026 · Advisor registered · fact
A••••• G• C•••••••• registered as an investment adviser representative at R•• C•••••• M••••••• L••
Sep 14, 2026 · Advisor registered · fact
L••• M•••• B•••• added a CA registration at R•• C•••••• M••••••• L••
Sep 14, 2026 · New state registration · fact
C••••• L••• A••••••• added a MD registration at R•• C•••••• M••••••• L••
Sep 14, 2026 · New state registration · fact
L••• M•••• B•••• added a TX registration at R•• C•••••• M••••••• L••
Sep 11, 2026 · New state registration · fact
2 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Newport Beach, CA) for R•• C•••••• M••••••• L•• on the same day
Sep 11, 2026 · Team lift-out · derived
O•••••• A•••••• O•••••• added a PA registration at R•• C•••••• M••••••• L••
Sep 8, 2026 · New state registration · fact
E•••• A•• S••••••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2026-08-20)
Sep 4, 2026 · Advisor changed firm · fact
E•••• A• F•••••• left R•• C•••••• M••••••• L•• for S••••• P•••••• W••••• (registered 2026-09-04)
Sep 4, 2026 · Advisor changed firm · fact
B•••••• J••••• L••••••• left R•• C•••••• M••••••• L•• for S••••• P•••••• W••••• (registered 2026-09-04)
Sep 4, 2026 · Advisor changed firm · fact
B•••••• S••••• left R•• C•••••• M••••••• L•• for S••••• P•••••• W••••• (registered 2026-09-04)
Sep 4, 2026 · Advisor changed firm · fact
C••• A•••••• H•••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2026-08-19)
Sep 4, 2026 · Advisor changed firm · fact
2 advisors left R•• C•••••• M••••••• L•• (Fresno, CA) for L•• F•••••••• L•• on the same day
Sep 4, 2026 · Team lift-out · derived
3 advisors left R•• C•••••• M••••••• L•• (Vienna, VA) for S••••• P•••••• W••••• on the same day
Sep 4, 2026 · Team lift-out · derived
C••• F•••••••• N••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2026-08-18)
Sep 2, 2026 · Advisor changed firm · fact
D•••• F••••• added a NY registration at R•• C•••••• M••••••• L••
Aug 31, 2026 · New state registration · fact
W•••••• E•••••• G•••••• left R•• C•••••• M••••••• L•• for I•• C••••••• L•• (registered 2026-08-11)
Aug 28, 2026 · Advisor changed firm · fact
B•••••• W••••• C••••• left R•• C•••••• M••••••• L•• for I•• C••••••• L•• (registered 2026-08-17)
Aug 28, 2026 · Advisor changed firm · fact
2 advisors left R•• C•••••• M••••••• L•• (San Francisco, CA) for I•• C••••••• L•• on the same day
Aug 28, 2026 · Team lift-out · derived
D••••• J•••• H•••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2026-08-18)
Aug 26, 2026 · Advisor changed firm · fact
S•••••• A••••• B••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2026-08-18)
Aug 26, 2026 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

R•• C•••••• M••••••• L•• · Private Equity
shared crd · intermediary
RBC Capital M•••••• LLC · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

Business phone: 212-703-6060reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 212-703-6000reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 212-703-6089reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/RBC-WEALTH-MANAGMENTreportedpublic record, Form ADV, Sep 18, 2026
Website: us.rbcwm.com/nycreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 212-858-7000reportedpublic record, Form ADV, Sep 15, 2026
Contact form: u•.r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: National broker-dealer RIAderiveda rule over Items 5.D and 7.A
RAUM per advisor: $80.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

R•• C•••••• M••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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