RBC Capital Markets, LLC

Broker-DealerFINRA Member

Total AUM

$310B

Discretionary

$235B

76% of AUM

Accounts

511,871

Employees

8,781

Advisory reps

6,640

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.