RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.
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RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.
(CRD# 107173)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Minneapolis, MN.
The SEC approved the firm to operate as an RIA in
Dec 1983.
In
Jan 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$32.4 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
33%
of RAUM.
Non-US investors represent
18%
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RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.
also reported in
Jan 2019
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173
employees,
with
44
performing advisory functions.
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A total of 5 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. has one or more disclosure events currently on file with the SEC.
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RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. has Notice Filings with the following State Securities Authorities: AK-Dec 2000, AL-Dec 2000, AR-Dec 2000, AZ-Apr 1997, CA-Dec 2000
, CO-Dec 2000, CT-Aug 1997, DC-Apr 1997, DE-Jun 2003, FL-Apr 1997
, GA-Mar 1997, HI-Aug 1997, IA-Jan 1999, ID-Dec 2000, IL-Feb 1986
, IN-May 2001, KS-Dec 2000, KY-Dec 2000, LA-Oct 2001, MA-Dec 2000
, MD-Dec 2000, ME-Feb 2001, MI-Nov 1997, MN-Apr 1997, MO-Dec 2000
, MS-Dec 2000, MT-Jan 1998, NC-Jan 2001, ND-Sep 2001, NE-Apr 1997
, NH-Dec 2000, NJ-Jul 1995, NM-Dec 2000, NV-Dec 2000, NY-Jul 1997
, OH-Sep 1999, OK-Feb 2001, OR-Aug 2002, PA-Dec 2000, PR-Dec 2000
, RI-Jan 1998, SC-Aug 2002, SD-Jan 1984, TN-Jan 2001, TX-Apr 1997
, UT-Dec 2000, VA-Dec 2000, VT-Dec 2000, WA-Apr 1997, WI-Feb 1984
, WV-Dec 2000
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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
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SEC. Feel free to contact
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