Rbc Rochdale, LLC

Business, clients and compensation, as filed

Advisory activities

portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and selection of other advisers

Compensated by

a percentage of assets under management and fixed fees

Client types

individuals (other than high net worth) (391); high net worth individuals (15,779); banking or thrift institutions; investment companies (6); business development companies; pooled investment vehicles; pension and profit sharing plans (180); charitable organizations (122); state or municipal government entities (1); other investment advisers; insurance companies; sovereign wealth funds and foreign official institutions; corporations or other businesses (575)

Also engaged as

commodity pool operator or commodity trading advisor

Related persons include

a broker-dealer, another investment adviser, a registered municipal advisor, a security-based swap dealer, a futures commission merchant, a banking or thrift institution, a trust company and an insurance company or agency

Affiliates

1 broker-dealer

Wrap fee program

Sponsors or manages a wrap fee program

Form ADV Item 11 disclosures

The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.

• SEC or CFTC finding of a false statement or omission (Item 11C(1))
• SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2), 2 reported)
• SEC or CFTC order against the firm or an affiliate (Item 11C(4))
• SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
• other regulator finding of a violation (Item 11D(2))
• other regulator order, denial, suspension or revocation (Item 11D(4), 2 reported)

Form D activity of the funds this firm advises, by year

1 issuer in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from July 29, 2014 to July 25, 2017. Reported sold across them: $11.4M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.

Registered funds this firm advises, from Form N-CEN

2 fundsregistered under the Investment Company Act name this firm as investment adviser on the latest Form N-CEN. Net assets and the share of holdings at Level 3 or carried at NAV ("marks") are from the newest Form N-PORT; the flow series is on each fund's page in Terminal Pro. Fee and expense ratios are as the fund reported them on N-CEN.