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RBC CAPITAL MARKETS, LLC

NEW YORK, NY · CRD 31194 · IAPD ↗ · us.rbcwealthmanagement.com · 212-858-7000

$310.43BRegulatory AUM
5908Advisory reps
8781Employees
1893Clients
51-100Planning clients
0Private funds
52States
164Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
October 2026 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (163 -> 164).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
September 2026 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 4 (159 -> 163).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2026 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 7 (152 -> 159).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2026 — RBC CAPITAL MARKETS, LLC added office(s): 360 -> 382 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
February 2026 — RBC CAPITAL MARKETS, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
February 2026 — RBC CAPITAL MARKETS, LLC grew from 5680 to 5908 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
January 2026 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (224 -> 225).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2025 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (223 -> 224).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2025 — RBC CAPITAL MARKETS, LLC added office(s): 320 -> 360 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
February 2025 — RBC CAPITAL MARKETS, LLC reported RAUM up 29% ($201.26B -> $259.96B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
February 2025 — RBC CAPITAL MARKETS, LLC grew from 2042 to 5680 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
September 2024 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (229 -> 230).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
August 2024 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 1 (228 -> 229).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2024 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 2 (226 -> 228).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
March 2024 — RBC CAPITAL MARKETS, LLC's Item 11 disclosure-reporting entries rose by 3 (223 -> 226).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2024 — RBC CAPITAL MARKETS, LLC added office(s): 311 -> 320 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
February 2024 — RBC CAPITAL MARKETS, LLC grew from 2024 to 2042 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.