RIA Intel›Advisers›California›RBC SECURITIES, INC.

RBC SECURITIES, INC.

Advisory

N·LOS ANGELES, CA

Data as of Feb 5, 2026 · Source: SEC Form ADV

Total AUM

$1.5B

1-Year AUM Growth

0.0%

3-Year CAGR

+2.4%

Employees

124

Assets Under Management

Total AUM$1.5B

Discretionary AUM$1.5B

Non-Discretionary AUM$0

Discretionary %100%

Total Clients1,451

Team

Total Employees124

Investment Advisers186

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record58

First FilingJul 22, 2003

Latest FilingFeb 5, 2026

🔒 Full AUM trend chart and 58 historical filings spanning 23+ 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 SECURITIES, INC.

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