Data / Investment advisers / California / RBC Securities, Inc.
RBC Securities, Inc., Los Angeles, CA: $1.5 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
RBC Securities, Inc. is an SEC registered investment adviser with its main office in Los Angeles, California and reports $1.5 billion in regulatory assets under management in its Form ADV filed September 18, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management and other fees.
The request: Watch RBC Securities, Inc. (CRD number 103705): 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
- 103705
- SEC file number
- 801-71181
- SEC status
- Approved, effective March 22, 2010
- Main office
- 555 South Flower Street 11th Floor, Los Angeles, CA 90071
- Phone
- (310) 888-6400
- Website
- cnb.com
- Regulatory AUM
- $1,515,102,638 in the Form ADV filed September 18, 2026
- Discretionary AUM
- $1,515,102,638
- Accounts
- 1,781
- Employees
- 186, of which 124 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, other fees
- Other offices
- 24
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions, other Item 11 matters, civil court actions
- Latest Form ADV filing
- September 18, 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 |
|---|---|---|
| High net worth individuals | 337 | $814.3 million |
| Individuals (other than high net worth individuals) | 955 | $371.8 million |
| Corporations or other businesses | 82 | $161.9 million |
| Charitable organizations | 25 | $89.4 million |
| Pension and profit sharing plans | 52 | $77.7 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 | $1.52 billion | January 29, 2026 |
| December 1, 2025 | $1.59 billion | April 24, 2025 |
Other advisers in Los Angeles
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Select Money Management, Inc. | Los Angeles | $1.80 billion | Not listed | adviserinfo.sec.gov |
| Regent Properties | Los Angeles | $1.77 billion | Not listed | adviserinfo.sec.gov |
| Dorchester Capital Advisors, LLC | Los Angeles | $1.65 billion | 12 | adviserinfo.sec.gov |
| Lone View Capital | Los Angeles | $1.59 billion | 8 | adviserinfo.sec.gov |
| Vercap Management LLC | Los Angeles | $1.58 billion | 2 | adviserinfo.sec.gov |
| Salem Partners Wealth Management, LLC | Los Angeles | $1.50 billion | Not listed | adviserinfo.sec.gov |
| Yucaipa Master Manager, LLC | Los Angeles | $1.49 billion | 8 | adviserinfo.sec.gov |
| Brasa Capital Management | Los Angeles | $1.37 billion | 5 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Los Angeles, CA
- Investment advisers in California
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- RBC Securities, Inc. 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.