Data / Investment advisers / New York / RBC Capital Markets, LLC
RBC Capital Markets, LLC, New York, NY: $310 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
RBC Capital Markets, LLC is an SEC registered investment adviser with its main office in New York, New York and reports $310 billion in regulatory assets under management in its Form ADV filed September 30, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management and fixed fees.
The request: Watch RBC Capital Markets, LLC (CRD number 31194): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 31194
- SEC file number
- 801-13059
- SEC status
- Approved, effective June 2, 1977
- Main office
- 200 Vesey St., New York, NY 10281
- Phone
- (212) 858-7000
- Website
- us.rbcwealthmanagement.com
- Regulatory AUM
- $310,428,968,904 in the Form ADV filed September 30, 2026
- Discretionary AUM
- $235,345,268,053
- Non discretionary AUM
- $75,083,700,851
- Accounts
- 511,871
- Employees
- 8,781, of which 5,908 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Other offices
- 382
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- September 30, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 263,588 | $182.25 billion |
| High net worth individuals | 12,350 | $98.50 billion |
| Corporations or other businesses | 3,071 | $13.82 billion |
| Charitable organizations | 2,222 | $10.80 billion |
| Pension and profit sharing plans | 2,335 | $2.67 billion |
| State or municipal government entities | 215 | $1.24 billion |
| Pooled investment vehicles | 17 | $651.5 million |
| Insurance companies | 105 | $445.3 million |
| Banking or thrift institutions | 7 | $55.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| February 2, 2026 | $310.43 billion | January 28, 2026 |
| December 1, 2025 | $259.96 billion | September 30, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| J.P. Morgan Securities LLC | New York | $429.69 billion | Not listed | adviserinfo.sec.gov |
| BNY Mellon Investment Adviser, Inc. | New York | $419.46 billion | 5 | adviserinfo.sec.gov |
| Kohlberg Kravis Roberts & Co. L.P. | New York | $399.90 billion | 630 | adviserinfo.sec.gov |
| Neuberger Berman Investment Advisers LLC | New York | $398.65 billion | 71 | adviserinfo.sec.gov |
| Nyl Investors LLC | New York | $329.20 billion | 17 | adviserinfo.sec.gov |
| Tiaa-Cref Investment Management LLC | New York | $292.13 billion | Not listed | adviserinfo.sec.gov |
| Voya Investment Management Co. LLC | New York | $274.95 billion | Not listed | adviserinfo.sec.gov |
| Guggenheim Partners Investment Management, LLC | New York | $240.66 billion | 73 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with Over $100 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- RBC Capital Markets, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.