SEC-registered wealth management firm Broker-dealer affiliated
RBC Securities, Inc.
As of its Form ADV filed September 18, 2026, RBC Securities, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Los Angeles, California, reported $1.5 billion in regulatory assets under management across 1,781 accounts, ranking #131 among all wealth firms in California by assets.
Registration
- Main office
- Los Angeles, CA
- Registration
- SEC-registered, Approved
- CRD number
- 103705
- SEC file number
- 801-71181
- Registered since
- March 22, 2010
- Latest Form ADV filing
- September 18, 2026
- Organized as
- Corporation
- Fiscal year ends
- October
- Other offices
- 24
Key figures
- Regulatory assets under management
- $1.5 billion
- Discretionary
- $1.5 billion (100.0%)
- Non-discretionary
- $0
- Accounts
- 1,781 (1,781 discretionary)
- Clients
- 1,451, approximate as reported
- Employees
- 186
- Advisory staff
- 124 performing investment advisory functions
- Average account
- $850,703
- Asset growth, 1 year
- -4.8% (from $1.6 billion a year earlier)
- Asset growth, 3-year annual rate
- 0.0% (from $1.5 billion three years earlier)
- Asset growth, 5-year annual rate
- 1.8% (from $1.4 billion five years earlier)
- Client growth, 1 year
- -11.4% (from 1,638)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $0 |
| October 3, 2011 | $37.0 million |
| October 1, 2012 | $212.9 million |
| October 1, 2013 | $361.2 million |
| October 1, 2014 | $485.3 million |
| October 1, 2015 | $646.7 million |
| October 3, 2016 | $668.5 million |
| October 2, 2017 | $734.3 million |
| October 1, 2018 | $1.0 billion |
| October 1, 2019 | $1.1 billion |
| October 1, 2020 | $1.2 billion |
| October 4, 2021 | $1.4 billion |
| October 3, 2022 | $1.6 billion |
| October 5, 2023 | $1.5 billion |
| October 1, 2024 | $1.5 billion |
| September 2, 2025 | $1.6 billion |
| October 2, 2026 | $1.5 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 337 clients | $814.3 million | |
| Individuals (other than high net worth) 955 clients | $371.8 million | |
| Corporations or other businesses 82 clients | $161.9 million | |
| Charitable organizations 25 clients | $89.4 million | |
| Pension and profit sharing plans 52 clients | $77.7 million |
How the firm is paid
- A percentage of assets under management
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Selection of other advisers
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Municipal advisor
- Swap dealer
- Commodity pool operator or commodity trading advisor
- Futures commission merchant
- Banking or thrift institution
- Trust company
- Pension consultant
- Real estate broker, dealer or agent
- Sponsor or syndicator of limited partnerships
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 124
- Also registered through a broker-dealer
- 123
- Employees who are IARs (Form ADV 5.B(3))
- 116
Designations held by the firm's IARs: CFP 14, CFA 9.
Between 110 and 124 of the firm's 124 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 12 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in California
| Firm | City | RAUM |
|---|---|---|
| Benefit Financial Services Group | Irvine | $1.5 billion |
| Tamar Securities, LLC | Woodland Hills | $1.5 billion |
| Robinhood Asset Management | Menlo Park | $1.5 billion |
| Compak Asset Management | Newport Beach | $1.5 billion |
| Salem Partners Wealth Management, LLC | Los Angeles | $1.5 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- RBC Securities, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.cnr.com
- Wealth management firms in California
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.