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RBC Capital Markets

Updated today

Client AUM

$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

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Expertise

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management

Occupation focus

Executive Founder/Business Owner Retired Financial Professional

Demographic focus

Approaching retirement HENRY (High Earners, Not Rich Yet)

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Fee options

Fixed

In limited circumstances, fixed dollar amount fee options available for RBC WM Advice Fee, negotiated per client

Percentage

$0 - $25,000: $25,000+:

Other

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 office

200 Vesey St.

New York NY 10281

Advisors at this office

89

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

Advisors at this firm

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Barbara B

Series 66

Conshohocken, PA

RBC Capital Markets

Barbara Brewer is a financial advisor at RBC Capital Markets with 20 years of industry experience. She holds a Series 66 designation and has been with RBC Capital Markets Corporation since 2008. RBC Wealth Management, a division of RBC Capital Markets, serves individual investors, institutional clients, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers various advisory programs with discretionary and non-discretionary portfolio management, financial planning, custody, and brokerage services, tailoring strategies to clients’ Advisory Risk Profiles through a mix of in-house and third-party providers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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April E

Series 63, Series 66

Leawood, KS

RBC Capital Markets

April Emeola is a financial advisor with RBC Capital Markets in Leawood, KS, holding Series 63 and Series 66 licenses with seven years of industry experience. She began her career at UBS Financial Services, where she worked for five years before joining RBC Capital Markets in 2017. Outside of finance, she is employed selling personal care products at Bath and Body Works. RBC Wealth Management serves a diverse client base including individual investors, institutions, and charitable organizations, offering a range of advisory programs that provide discretionary and non-discretionary portfolio management, financial planning, custody, and brokerage services. The firm utilizes a blend of in-house and third-party investment managers and emphasizes tailored strategies based on clients’ risk profiles.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Laura J

Series 66

Milwaukee, WI

RBC Capital Markets

Laura Jerominski is a financial advisor at RBC Capital Markets with a Series 66 designation and one year of industry experience. Her prior work includes roles at the Milwaukee Yacht Club and South Shore Yacht Club. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutions, pension plans, corporations, and charitable organizations. The firm offers various advisory programs with tailored strategies and a range of portfolio management and financial planning services.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Caden K

Series 66

Fort Collins, CO

RBC Capital Markets

Caden Koole is a financial advisor with RBC Capital Markets in Fort Collins, CO. He holds a Series 66 designation and began his advisory career in 2026. Prior to joining RBC Capital Markets, he held roles at Dordt University and worked at Raindance National Golf Course. RBC Wealth Management, a division of RBC Capital Markets, serves individual and institutional clients with tailored investment strategies, offering portfolio management, financial planning, custody, and brokerage services. The firm leverages in-house and third-party managers and provides a variety of advisory programs to meet diverse client needs.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Michael L

Series 66

New York, NY

RBC Capital Markets

Michael Lindvall is a financial advisor with RBC Capital Markets in New York, NY, holding a Series 66 designation and eight years of industry experience. He has been with RBC Capital Markets since 2014 and previously served in the United States Army Reserve from 2005 to 2018. RBC Wealth Management, a division of RBC Capital Markets, serves individual investors, institutional clients, corporations, and charitable organizations. The firm offers tailored investment strategies through a variety of advisory programs, combining in-house and third-party managers to meet diverse client needs.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Elizabeth S

Series 63, Series 65

Westport, CT

RBC Capital Markets

Elizabeth Schroder is a financial advisor at RBC Capital Markets with 40 years of industry experience. She holds the Series 63 and Series 65 designations and has worked at RBC Capital Markets since 2008, following a period at City National Bank. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutional clients, corporations, and charitable organizations. The firm offers various advisory programs with tailored investment strategies using both in-house and third-party managers, and provides a range of portfolio management, financial planning, custody, and brokerage services.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Trent N

Series 63, Series 65

Bradenton, FL

RBC Capital Markets

Trent Nelson is a financial advisor at RBC Capital Markets with 24 years of industry experience. He holds the Series 63 and Series 65 designations and has previously worked at Merrill and Bank of America. Outside of advising, he is involved in managing a real estate holding company, overseeing maintenance activities. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutions, and charitable organizations. The firm offers multiple wrap fee advisory programs with tailored investment strategies implemented through a combination of in-house and third-party managers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Philip H

Series 63, Series 65

Frisco, TX

RBC Capital Markets

Philip Hammitt is a financial advisor with RBC Capital Markets based in Frisco, TX. He holds Series 63 and Series 65 designations and has 32 years of industry experience. His work history includes roles at City National Bank since 2016 and RBC Capital Markets since 2013. RBC Wealth Management, a division of RBC Capital Markets, serves a wide range of clients including individual investors, institutional clients, and charitable organizations. The firm offers various advisory programs and tailors investment strategies to each client’s risk profile, utilizing a combination of in-house and third-party managers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Jack F

Series 66

Seattle, WA

RBC Capital Markets

Jack Fisher is a financial advisor at RBC Capital Markets in Seattle, WA, with three years of industry experience. He holds the Series 66 designation and previously worked at Raymond James & Associates, Albertsons, Redfin, Kelly Services Inc, and Conduent. RBC Wealth Management, a division of RBC Capital Markets, serves a broad client base including individual investors, institutions, pension plans, corporations, and charitable organizations. The firm offers multiple advisory programs with tailored investment strategies, combining in-house and third-party managers, and provides discretionary and non-discretionary portfolio management, financial planning, custody, and brokerage services.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Joshua R

Series 63, Series 65

Stillwater, MN

RBC Capital Markets

Joshua Rebholz is a financial advisor at RBC Capital Markets with 10 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Morgan Stanley Private Bank, Morgan Stanley, and Capital Insight Partners LLC. He serves on the boards of several nonprofit organizations, including the Courage Kenny Foundation and the MN Brain Injury Alliance, and is involved in organizing charitable golf events and volunteer activities related to adaptive golf. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base ranging from individual investors to institutional and charitable organizations. The firm offers a variety of advisory programs tailored to clients’ risk profiles, utilizing both in-house and third-party investment managers and providing services such as portfolio management, financial planning, and custody.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Rachel S

CFP®, Series 63, Series 65

Hartford, CT

RBC Capital Markets

Rachel Sorrentino is a CFP® with 29 years of industry experience, currently serving as a financial advisor at RBC Capital Markets since 2022. Her prior experience includes roles at Janney Montgomery Scott and Commonwealth Financial Network. Outside of her advisory work, she has worked as a driver for transportation services with Lyft and Uber. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutions, and charitable organizations. The firm offers a range of advisory programs that combine discretionary and non-discretionary portfolio management with financial planning and brokerage services, utilizing both in-house and third-party investment managers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Jennifer H

Series 66

Longview, TX

RBC Capital Markets

Jennifer Hansard is a financial advisor with RBC Capital Markets, holding a Series 66 designation and eight years of industry experience. Her career includes roles at Sanctuary Advisors, Merrill, and Lee Transervices prior to joining RBC in 2025. RBC Wealth Management serves individual investors, institutions, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers a range of advisory programs with customizable strategies implemented through both in-house and third-party investment managers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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George G

Series 66

Florham Park, NJ

RBC Capital Markets

George Grube is a financial advisor with RBC Capital Markets, holding a Series 66 designation and three years of industry experience. Prior to joining RBC in 2021, he worked in various non-financial roles including positions at A La Cart and Buffalo Wild Wings. Outside of his advisory duties, he is employed with Hudmed LLC, assisting in hospital sanitation, and contributes part-time to Grape Expectations, Inc., a private wine-related business. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutions, and charitable organizations. The firm offers tailored advisory programs with discretionary and non-discretionary portfolio management, utilizing a combination of in-house and third-party investment managers to meet clients’ investment objectives.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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Denise P

Series 63, Series 66

Fort Collins, CO

RBC Capital Markets

Denise Peloza is a financial advisor with RBC Capital Markets in Fort Collins, CO, holding Series 63 and Series 66 credentials and bringing 26 years of industry experience. She has previously worked at Truist Advisory Services and BB&T Securities. RBC Wealth Management, a division of RBC Capital Markets, serves a diverse client base including individual investors, institutional clients, and charitable organizations. The firm offers customized portfolio management and financial planning services through a variety of advisory programs, utilizing both in-house and third-party investment managers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
user avatar

Yashvi S

Series 66

San Jose, CA

RBC Capital Markets

Yashvi Shah is a financial advisor at RBC Capital Markets with the Series 66 designation and one year of industry experience. Prior to joining RBC, Shah worked at JPMorgan Chase Bank, N.A. and J.P. Morgan Securities. RBC Wealth Management serves a diverse client base that includes individual investors, institutional clients, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers a variety of wrap fee advisory programs with tailored investment strategies implemented through a combination of in-house and third-party managers.

Tax-loss harvesting ESG / Sustainable investing Private / alternative investments Concentrated stock management Wealth management Executive Founder/Business Owner Retired Financial Professional Approaching retirement HENRY (High Earners, Not Rich Yet)
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