RBC Capital Markets
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$280,746,088,986
Clients
275,938
Advisors
3,825
across 402 offices
About
RBC Wealth Management, a division of RBC Capital Markets, LLC, serves a broad client base that includes individual investors (both non‑HNW and high‑net‑worth), institutional clients, pension and profit‑sharing plans, corporations, and charitable organizations. It offers multiple wrap fee advisory programs—RBC Advisor, Portfolio Focus, RBC Unified Portfolio, Consulting Solutions, and a Managed Account Program—providing discretionary and non‑discretionary portfolio management, financial planning, custody, and brokerage services.
The firm tailors strategies to each client’s Advisory Risk Profile and implements portfolios through a mix of in‑house and third‑party Investment Managers, Model Providers, and an Overlay Manager (either RBC WM or Envestnet), with choices for rebalancing frequency, tax‑management, and responsible‑investing screens. Program accounts are administered as unified or sleeve‑based structures (RBC UP) and may include fund share‑class conversions, cash sweep options, and alternative investments or annuities as described in the brochure.
RBC’s capital‑markets footprint and affiliated capabilities are notable features: RBC Capital Markets is registered with the CFTC as a futures commission merchant and as a swap firm, the firm’s affiliated asset managers (for example, RBC GAM – U.S. and RBC Rochdale) serve as Investment Managers and Model Providers, and the firm makes alternative investments (including feeder‑fund structures) and pooled vehicles available to clients. The brochure also discloses municipal‑related activities and regulatory matters and describes integrated lending and cash‑sweep arrangements with affiliated banks, all of which are identified as potential conflicts and are disclosed in the firm’s materials.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
In limited circumstances, fixed dollar amount fee options available for RBC WM Advice Fee, negotiated per client
$0 - $25,000: $25,000+:
Account minimum: $25,000 - $600,000 depending on program and strategy Fee-only: RBC Advisor and Portfolio Focus: RBC WM Advice Fee up to 2.50% annually (tiered by asset level, negotiable)
Main office
See office200 Vesey St.
New York NY 10281
Advisors at this office
89
Offices (402)
Minneapolis, MN Nicollet Mall
250 Nicollet Mall Suite 1550, 16th Floor, Minneapolis, MN 55401
221 advisors
Florham Park, NJ Park Avenue
200 Park Avenue 2nd Floor, Florham Park, NJ 07932-1026
105 advisors
New York, NY Avenue of the Americas
1211 Avenue of the Americas Suite 3300, New York, NY 10036
99 advisors
New York, NY Vesey St.
200 Vesey St., New York, NY 10281
89 advisors
Wayzata, MN Lake St. E.
641 Lake St. E. Suite 230, Wayzata, MN 55391
78 advisors
Most active in
Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Also doing business as
Dain Rauscher Inc · Dain Rauscher Incorporated · Interra Clearing Services, Inc. · Rbc Advisor Services · Rbc Capital Markets Corporation · Rbc Capital Markets, LLC · Rbc Clearing And Custody · Rbc Correspondent Services · Rbc Dain Rauscher · Rbc Dain Rauscher Inc. · Rbc Wealth Management · Regional Operations Group, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
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