RIA Intel›Advisers›New York›RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

Advisory

N·NEW YORK, NY

Data as of Jan 28, 2026 · Source: SEC Form ADV

Total AUM

$310.4B

1-Year AUM Growth

+9.7%

3-Year CAGR

+11.4%

Employees

5,908

Assets Under Management

Total AUM$310.4B

Discretionary AUM$235.3B

Non-Discretionary AUM$75.1B

Discretionary %75.8%

Total Clients283,910

Team

Total Employees5,908

Investment Advisers8,781

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record298

First FilingJan 18, 2001

Latest FilingJan 28, 2026

🔒 Full AUM trend chart and 298 historical filings spanning 25+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on RBC CAPITAL MARKETS, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.