Investment adviser · CRD 117198

RBC ROCHDALE, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Sep 10, 2026

Regulatory AUM: $73B
Client accounts: 42,770
Employees: 269
Advisory professionals: 138

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
High-net-worth individuals	15,779	$49,897,131,705	68.4%
Investment companies	6	$11,433,150,241	15.7%
Corporations & businesses	575	$7,887,216,086	10.8%
Charities	122	$2,060,058,306	2.8%
Retirement plans	180	$956,638,293	1.3%
Government entities	Fewer than 5	$573,257,693	0.8%
Individuals	391	$153,046,254	0.2%

Filing source

Form ADV 2131470 · Sep 10, 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

4 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.

SPECIAL OPPORTUNITIES FUND LTD.Hedge Fund · Last reported Sep 10, 2026$0Gross asset value

Form D fundraising filings

SPECIAL OPPORTUNITIES FUND LTD.

Fund administrator ARTEX NO CITY, Bermuda Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor EISNER AMPER PHILADELPHIA, Pennsylvania, United States

Custodian BNY PERSHING JERSEY CITY, New Jersey, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

EISNER AMPER
PCAOB 274

Fund details & source

Fund ID: 805-2048490639
Reported beneficial owners: 0
Minimum commitment: $100K
Form D file number: 021-221948

Form ADV 2131470 · Sep 10, 2026 · Schedule D 7.B.(1)

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

DIVERSIFIED OPPORTUNITIES FUND LTD.Hedge Fund · Last reported Mar 11, 2019$17.1MGross asset value

Form D fundraising filings

DIVERSIFIED OPPORTUNITIES FUND LTD.

Fund administrator US BANK MILWAUKEE, Wisconsin, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor EISNER AMPER PHILADELPHIA, Pennsylvania, United States

Custodian VP (BVI) BANK LTD BVI, British Virgin Islands Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

EISNER AMPER
PCAOB 274

Fund details & source

Fund ID: 805-2359951867
Reported beneficial owners: 38
Minimum commitment: $10K
Form D file number: 021-221946

Form ADV 1283818 · Mar 11, 2019 · Schedule D 7.B.(1)

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

TRADE FINANCE INCOME FUND LIMITEDHedge Fund · Last reported Jun 30, 2016$11.9MGross asset value

Form D fundraising filings

Rochdale GML Trade Finance Income Fund Ltd

Fund administrator U.S. BANK MILWAUKEE, Wisconsin, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor O'CONNOR DAVIES CAYMAN GEORGE TOWN, Cayman Islands

Custodian KLEINWORT BENSON GUERNSEY, Guernsey Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-6735522095
Reported beneficial owners: 65
Minimum commitment: $50K
Form D file number: 021-130795

Form ADV 1027239 · Jun 30, 2016 · Schedule D 7.B.(1)

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

ROCHDALE ROYALTY RIGHTS FUNDOther Private Fund · Last reported Jun 30, 2016$4.24MGross asset value

Form D fundraising filings

Rochdale Royalty Rights Fund LLC

Fund administrator US BANK MILWAUKEE, Wisconsin, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor PKF O'CONNOR DAVIES NEW YORK, New York, United States

Custodian US BANK MILWAUKEE, Wisconsin, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-8916735664
Reported beneficial owners: 33
Minimum commitment: $50K
Form D file number: 021-186921

Form ADV 1027239 · Jun 30, 2016 · Schedule D 7.B.(1)

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

Services & filing details

Most recent filing: Sep 10, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed

Principal office

400 PARK AVENUE, 10TH FLOOR
NEW YORK, NY, 10022, United States

CRD 117198

Filing source

Form ADV 2131470 · Sep 10, 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.