Investment adviser · CRD 31194

RBC CAPITAL MARKETS, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Sep 30, 2026

Regulatory AUM: $310B
Client accounts: 511,871
Employees: 8,781
Advisory professionals: 5,908

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Individuals	263,588	$182,247,279,546	58.7%
High-net-worth individuals	12,350	$98,498,809,440	31.7%
Corporations & businesses	3,071	$13,819,164,766	4.5%
Charities	2,222	$10,797,612,893	3.5%
Retirement plans	2,335	$2,670,518,609	0.9%
Government entities	215	$1,243,218,500	0.4%
Pooled investment vehicles	17	$651,533,555	0.2%
Insurance companies	105	$445,270,565	0.1%
Banks & thrifts	7	$55,561,030	0.0%

Filing source

Form ADV 2135660 · Sep 30, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

0 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

No detailed fund records are available here. Funds may be referenced under another reporting adviser in Schedule D 7.B.(2); this does not establish that the adviser has no funds.

Services & filing details

Most recent filing: Sep 30, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Pension consulting · Selection of other advisers · Educational seminars

Compensation

Percentage of assets · Fixed

Principal office

200 VESEY ST.
NEW YORK, NY, 10281, United States

CRD 31194

Filing source

Form ADV 2135660 · Sep 30, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.