CITY NATIONAL ROCHDALE
|
|
CITY NATIONAL ROCHDALE
(CRD# 117198)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Jun 1986.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$38.9 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
2%
.
|
|
CITY NATIONAL ROCHDALE
also reported in
Mar 2019
-
274
employees,
with
137
performing advisory functions.
-
A total of 18 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
CITY NATIONAL ROCHDALE has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
CITY NATIONAL ROCHDALE has Notice Filings with the following State Securities Authorities: AK-Nov 2005, AL-Jun 1986, AR-Nov 2005, AZ-Jan 2001, CA-Jul 19
, CO-Aug 2002, CT-Nov 2001, DC-Nov 2001, DE-May 2003, FL-Jan 2
, GA-Jun 1991, HI-Jan 2001, IA-Feb 2001, ID-Aug 2002, IL-Nov 2
, IN-Jun 1986, KS-Aug 2002, KY-Aug 2002, LA-Jan 2002, MA-Apr 1
, MD-Sep 1991, ME-Nov 2005, MI-Dec 2001, MN-Nov 2001, MO-Jul 1
, MS-Aug 2002, MT-Aug 2002, NC-Jun 1986, ND-Nov 2005, NE-Sep 1
, NH-Apr 1998, NJ-Dec 2001, NM-Aug 2002, NV-Jun 1986, NY-Oct 1
, OH-Feb 2001, OK-Nov 2005, OR-Jun 2002, PA-Jun 1986, PR-Mar 2
, RI-Jun 1986, SC-Jun 1986, SD-Nov 2001, TN-Jan 2002, TX-Nov 2
, UT-Nov 2005, VA-Nov 1988, VI-Mar 2016, VT-Jun 1995, WA-Jun 1
, WI-Mar 1993, WV-Nov 2005, WY-Sep 2017
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
