Basking Ridge, NJ Office

RBC Rochdale serves a broad mix of clients including individuals (primarily high net worth and emerging high net worth), investment companies, corporations, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. The firm provides discretionary and non-discretionary portfolio management, sub-advisory services, model delivery and TAMP relationships, wrap-fee program participation, and management services for open- and closed-end investment vehicles described in its Independent Channel brochure.

The firm describes an active, multi-strategy investment process that combines quantitative screening and statistical modeling with fundamental analysis, using a proprietary Galaxy asset-allocation tool and Monte Carlo simulations to align portfolios to each client’s Investment Policy Statement. Rochdale implements strategies across U.S. core equity, international equity via ETFs, a range of fixed income sleeves, opportunistic income, real assets, and alternative/private investments, often working with third‑party sub‑advisors and independent financial advisors to construct tailored portfolios.

Notable distinctions in the brochure include Rochdale’s role as sponsor and adviser to the City National Rochdale mutual funds and interval funds and its routine use of affiliated entities (including CNR Securities and other RBC affiliates) and Pershing custodial/sweep arrangements—relationships the firm discloses as creating revenue‑sharing and other conflicts and addresses through enhanced disclosure and compliance controls. The firm also reports substantial scale (approximately $73 billion in AUM across 125 advisors), explicit use of private credit and private infrastructure exposures, and an Independent Channel focus on portfolio and sub‑advisory management rather than standalone financial planning; the brochure also discloses a March 2022 SEC settlement and subsequent compliance enhancements.