RBC Capital Markets, LLC

Broker-DealerFINRA Member

Total AUM

$310B

Discretionary

$235B

76% of AUM

Accounts

511,871

Employees

8,781

Advisory reps

6,625

Brokerage reps

6,457

Firm details

Headquarters: New York, New York
CRD number: 31194
Registered since: June 2, 1977
Website: www.rbccm.com
Fee structure: Percentage of AUM, Fixed Fees
Client types: Individuals58.71%
HNWI31.73%
Corporations / Businesses4.45%
Charitable Organizations3.48%
Pension & Profit Sharing Plans0.86%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

RBC Capital Markets, LLC is structured as an LLC that functions as a broker-dealer, qualified custodian and investment bank. The firm is registered with the SEC (registration year 1977) and serves both individual/family and institutional clients. Its platform combines traditional broker-dealer capabilities with futures commission merchant activity, insurance brokerage, registered municipal advising and security-based swap dealing. Advisory services span financial planning, portfolio management for individuals, small businesses, pooled vehicles and institutions, selection of other advisers, pension consulting-related services and educational seminars. The firm charges a mix of percentage-of-AUM and fixed fees and is not identified as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Exchange Traded Equities42%
Public Funds/Mutual Funds41%
Cash & Cash Equivalents5%
State & Local Bonds4%
US Government Bonds3%

Owners & executives

3 of 16

Jonathan Nash
CoordinatorCRD 5438844
Bryan Niles
Co-ceoCRD 5540764
John Thurlow
Managing Director and Chief Operating OfficerCRD 5726613

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Contacts

3 of 6609

Sarah Joseph
Senior Vice President, Financial Advisor, Portfolio ManagerCRD 5643095
Nancy Mcdonald
Senior Vice President, Private Wealth AdvisorCRD 5645071
Rachel Corregan
Investment AssociateCRD 5647968