# RBC ROCHDALE, LLC

RBC ROCHDALE, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 117198
- Type: SEC-registered investment adviser
- SEC file number: 801-27265
- Location: 400 PARK AVENUE, 10TH FLOOR, NEW YORK, NY, 10022
- Phone: 212-702-3500
- Latest filing: 2026-07-31
- Regulatory AUM: $73.0B
- Discretionary AUM: $72.8B
- Non-discretionary AUM: $117.2M
- Clients: 269
- Accounts: 42,770

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth, Pooled vehicles, Charities, Investment cos

## Officers, owners & control persons (42)

_Showing 25 of 42 people._

| Name | Role | Location |
| --- | --- | --- |
| Christina Marie Weber | CHIEF COMPLIANCE OFFICER | — |
| Charles Justin Luke | CHIEF INVESTMENT OFFICER | — |
| Gregg Giaquinto | PRESIDENT, CEO & BOARD DIRECTOR | — |
| Alma Delia Banuelos | BOARD DIRECTOR | — |
| Ivor Patrick O'Keeffe | BOARD DIRECTOR | — |
| Joby Swankutty | BOARD DIRECTOR | — |
| Shawn David Riley | BOARD DIRECTOR | — |
| Julie Richard | CHIEF COMPLIANCE OFFICER | — |
| Gregg Robert Giaquinto | PRESIDENT; PRESIDENT & CHAIRMAN OF THE BOARD | — |
| Rochelle Beth Levy | CHIEF COMPLIANCE OFFICER | — |
| Abel Joseph Montanez | CHAIRMAN OF THE BOARD | — |
| ADLER RICHARD HOWARD | BOARD MEMBER | — |
| DELANO DONALD PETER | CHIEF COMPLIANCE OFFICER | — |
| GERSHEN RICHARD SCOTT | BOARD MEMBER | — |
| GALVIN THOMAS A | CHIEF INVESTMENT OFFICER | — |
| GOZZILLO FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| ACEBES CARL | CHAIRMAN; CHAIRMAN EMERITUS; DIRECTOR | — |
| HAWKESWORTH KURT ALEXANDER | ACTING CHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER AND BOARD MEMBER (+4 more) | — |
| DALESSANDRO GARRETT RICHARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT AND CHIEF EXECUTIVE OFFICER, DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER, AND BOARD MEMBER (+2 more) | — |
| COIRO DAVID MICHAEL | VICE PRESIDENT,; VICE PRESIDENT, SECRETARY | — |
| BUCKLEY JOHN THOMAS | SENIOR VICE PRESIDENT | — |
| TOWERS EDMUND LAWRENCE | CHIEF FINANCIAL OFFICER | — |
| SIMON MARC DAVID | CHIEF INVESTMENT OFFICER | — |
| ANDREWS DON JAMES | CHIEF COMPLIANCE OFFICER | — |
| MOLBERT JANE FREEMAN | V.P.-FINANCE | — |


## Disclosures (65)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-01-31 | regulatory | THE OCC FOUND THAT THE BANK ENGAGED IN UNSAFE OR UNSOUND PRACTICES, INCLUDING ITS FAILURE TO ESTABLISH EFFECTIVE RISK MANAGEMENT AND INTERNAL CONTROLS. THIS FAILURE ALSO RESULTED IN NONCOMPLIANCE WITH 12 CFR PART 30, APPENDIX D, "OCC GUIDELINES ESTABLISHING HEIGHTENED STANDARDS FOR CERTAIN LARGE INS… | Final | $65.0M |
| 2023-11-02 | regulatory | FAILURE TO MAKE AND KEEP BOOKS, RECORDS, AND ACCOUNTS, WHICH, IN REASONABLE DETAIL, ACCURATELY AND FAIRLY REFLECT THE TRANSACTIONS AND DISPOSITIONS OF THE ASSETS OF THE ISSUER. FAILURE TO DEVISE AND MAINTAIN A SYSTEM OF INTERNAL ACCOUNT CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRANSA… | Final | $6.0M |
| 2020-09-15 | regulatory | THE SEC ALLEGED THAT FROM 2016 THROUGH 2019, CITY NATIONAL ROCHDALE DID NOT ADEQUATELY DISCLOSE THAT, WHERE IT WAS NOT PRUDENT OR POSSIBLE TO INVEST A CLIENT'S ASSETS IN THE INDIVIDUAL SECURITIES AND BONDS THAT COMPRISE CITY NATIONAL ROCHDALE'S INTERNALLY DEVELOPED MODEL PORTFOLIOS, CITY NATIONAL RO… | Final | $5.5M |
| 2012-04-02 | regulatory | ROYAL BANK OF CANADA IS ALLEGED TO HAVE VIOLATED SECTION 4C(A) OF THE COMMODITY EXCHANGE ACT, AND COMMISSION REGULATION 1.38(A), BY KNOWINGLY ENTERING INTO PURCHASES AND SALES OF SINGLE STOCK FUTURES AND NARROW-BASED INDEX FUTURES CONTRACTS OPPOSITE ITS SUBSIDIARIES WITH THE EXPRESS OR IMPLIED UNDER… | Final | $35.0M |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/117198/brochure
- Similar advisers: https://search.stillhousedata.com/firm/117198/similar
- Related entities: https://search.stillhousedata.com/firm/117198/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/117198

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.