← Rbc Private Counsel (Usa) Inc.
Form ADV (full filing)
as of Jun 30, 2026
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FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: RBC PRIVATE COUNSEL (USA) INC. CRD Number: 109648
Other-Than-Annual Amendment - All Sections Rev. 10/2021
6/30/2026 10:53:13 AM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal
prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the
information in Item 1 should be provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
RBC PRIVATE COUNSEL (USA) INC.
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
RBC PRIVATE COUNSEL (USA) INC.
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the
name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-55491
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
CIK Number
1332123
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 109648
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1: Number and Street 2:
155 WELLINGTON STREET WEST, 17TH FLOOR RBC CENTRE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ON Canada M5V 3K7
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If
you are applying for registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to
which you are applying for registration or with whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are reporting to the SEC as an exempt reporting adviser, list the largest twenty-five offices in terms of numbers of employees as of the end of your
most recently completed fiscal year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
8:30 AM - 5:00 PM EST
(3) Telephone number at this location:
416-955-7782
(4) Facsimile number at this location, if any:
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of
the end of your most recently completed fiscal year?
131
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and
LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D.
If a website address serves as a portal through which to access other information you have published on the web, you may list the portal without listing
addresses for all of the other information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly
available social media platforms where you do not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the
addresses of employee accounts on publicly available social media platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact
information for your Chief Compliance Officer, if you have one. If not, you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered
under the Investment Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person's name and IRS
Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions
about this Form ADV, you may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law,
somewhere other than your principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial
regulatory authority. If "yes," complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using
the total assets shown on the balance sheet for your most recent fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
549300JTW6OHPSUU8T23
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity
identifier.
SECTION 1.B. Other Business Names
List your other business names and the jurisdictions in which you use them. You must complete a separate Schedule D Section 1.B. for each business
name.
Name: RBC WEALTH MANAGEMENT
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR Other:
ID MT RI
SECTION 1.F. Other Offices
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90701 - AB RBCDS INC-CALGARY DOME 333 7TH AVENUE SW, 14TH FLOOR
City: State: Country: ZIP+4/Postal Code:
CALGARY, ALBERTA Canada T2P 2Z1
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
403-299-7000 403-299-6521
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
56
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90345 - QC RBCDS INC-POINTE-CLAIRE 755 ST. JEAN BOULEVARD, SUITE 500
City: State: Country: ZIP+4/Postal Code:
POINT-CLAIRE, QUEBEC Canada H9R 5M9
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
514-630-6470 514-630-1551
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
14
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90421 - ON RBCDS INC-BCE 22 181 BAY STREET, 22ND FLOOR
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2V1
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-842-3466 416-842-7242
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
45
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90537 - ON RBCDS INC-OAKVILLE 435 NORTH SERVICE RD W
City: State: Country: ZIP+4/Postal Code:
OAKVILLE, ONTARIO Canada L6M 4X8
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
905-469-7000 905-469-7005
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
22
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90439 - ON RBCDS INC-ETOBICOKE 3250 BLOOR ST. W., EAST TOWER, SUITE 705
City: State: Country: ZIP+4/Postal Code:
ETOBICOKE, ONTARIO Canada M8X 2X9
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-231-6766 416-231-8229
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
29
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90810 - BC RBCDS INC-WHITE ROCK 2626 CROYDON DRIVE, SUITE 400
City: State: Country: ZIP+4/Postal Code:
SURREY, BRITISH COLUMBIA Canada V3Z 0S8
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
604-535-3800 604-535-3899
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
17
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90641 - ON RBCDS INC-LONDON 148 FULLERTON STREET, SUITE 1900
City: State: Country: ZIP+4/Postal Code:
LONDON, ONTARIO Canada N6A 1H8
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
519-675-2000 519-675-2020
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
26
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90311 - QC RBCDS INC-MONTREAL UPTOWN 1501 AVE MCGILL COLLEGE, BUREAU 2150
City: State: Country: ZIP+4/Postal Code:
MONTREAL, QUEBEC Canada H3A 1Z4
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
514-840-7644 514-840-7663
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
20
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90508 - ON RBCDS INC-BELLS CORNER 303 MOODIE DRIVE, SUITE 550
City: State: Country: ZIP+4/Postal Code:
OTTAWA, ONTARIO Canada K2H 9R4
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
613-721-4670 613-721-4680
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
22
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90301 - QC RBCDS INC-MONTREAL PVM 3 1 PLACE VILLE MARIE, BUREAU 300
City: State: Country: ZIP+4/Postal Code:
MONTREAL, QUEBEC Canada H3B 4R8
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
514-874-7222 514-878-7278
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
20
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90501 - ON RBCDS INC-OTTAWA 45 O'CONNOR ST., #900, WORLD EXCHANGE PLAZA
City: State: Country: ZIP+4/Postal Code:
OTTAWA, ONTARIO Canada K1P 5E1
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
613-566-7500 613-566-7597
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
20
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
PHN TORONTO 200 BAY STREET, 25TH FLOOR, SOUTH TOWER,
City: State: Country: ZIP+4/Postal Code:
TORONTO, ON Canada M5J 2J2
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-842-2300 416-956-5060
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
22
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN REGISTERED PORTFOLIO MANAGER, RBCPHILLIPS, HAGER & NORTH INVESTMENT COUNSEL
INC., AND/OR RELATED CANADIAN INSURANCE AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90621 - ON RBCDS INC-WINDSOR 1922 WYANDOTTE STREET EAST, 3RD FL
City: State: Country: ZIP+4/Postal Code:
WINDSOR Canada N8Y 1E4
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
519-252-3663 519-252-3672
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
15
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90535 - ON RBCDS INC-MISSISSAUGA 4 ROBERT SPECK PARKWAY, SUITE 1100
City: State: Country: ZIP+4/Postal Code:
MISSISSAUGA, ONTARIO Canada L4Z 1S1
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
905-897-8333 905-277-6007
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
28
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90423 - ON RBC DS INC-BCE 23 181 BAY ST., STE.2350, BCE PLACE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2V1
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-842-3466 416-842-3472
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
22
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90411 - ON RBCDS INC-NORTH YORK 5140 YONGE STREET, 11TH FLOOR
City: State: Country: ZIP+4/Postal Code:
NORTH YORK, ONTARIO Canada M2N 6L7
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-733-5200 416 733-5220
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
38
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90428 - ON RBCDS INC-YONGE & BLOOR 2 BLOOR ST. E., SUITE 2300
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M4W 3H7
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-974-2746 416-974-3057
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
24
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90783 - MB RBCDS INC-WINNIPEG 3100-201 PORTAGE AVENUE
City: State: Country: ZIP+4/Postal Code:
WINNIPEG, MANITOBA Canada R3B 3K6
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
204-982-3450 204-982-3460
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
32
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90447 - ON RBCDS INC-YONGE & EGLINTON 2345 YONGE ST., SUITE 1000
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M4P 2E5
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-974-0202 416-974-0332
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
19
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90571 - ON RBCDS INC-HAMILTON 259 WILSON ST E
City: State: Country: ZIP+4/Postal Code:
HAMILTON, ONTARIO Canada L9G 2B8
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
905-546-5800 905-546-5030
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
20
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90327 - QC RBCDS INC-MONTREAL PVM 5 1 PLACE VILLE MARIE, 5TH FLOOR
City: State: Country: ZIP+4/Postal Code:
MONTREAL, QUEBEC Canada H3B 3Y1
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
514-874-7222 514-878-5070
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
34
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90892 - BC RBCDS INC-VANCOUVER ROYAL CENTRE 1055 W GEORGIA ST - SUITE 3233
City: State: Country: ZIP+4/Postal Code:
VANCOUVER, BRITISH COLUMBIA Canada V6E 3S5
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
604-665-6991 604-257-7044
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
34
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90803 - BC RBCDS INC-VANCOUVER THURLOW 745 THURLOW STREET - SUITE 2000
City: State: Country: ZIP+4/Postal Code:
VANCOUVER, BRITISH COLUMBIA Canada V6E 0C5
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
604-257-7200 604-257-7391
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
54
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90270 - NS RBCDS INC-HALIFAX 1959 UPPER WATER STREET, SUITE 1400, PURDYS WHARF
City: State: Country: ZIP+4/Postal Code:
HALIFAX, NOVA SCOTIA Canada B3J 3N2
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
902-424-1000 902-424-1027
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
23
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90441 - ON RBCDS INC-RBP 39 200 BAY STREET, ROYAL BANK PLAZA, SUITE 3900
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2J5
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
416-974-3940 416-842 2220
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
61
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
90416 - ON RBCDS INC-RICHMOND HILL 260 EAST BEAVER CREEK ROAD, SUITE 500
City: State: Country: ZIP+4/Postal Code:
RICHMOND HILL, ONTARIO Canada L4B 3M3
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
905-764-3923 905-764-7324
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
38
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN BROKER-DEALER, RBC DOMINION SECURITIES INC. AND/OR RELATED CANADIAN INSURANCE
AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
Complete the following information for each office, other than your principal office and place of business, at which you conduct investment advisory business.
You must complete a separate Schedule D Section 1.F. for each location. If you are applying for SEC registration, if you are registered only with the SEC, or
if you are an exempt reporting adviser, list only the largest twenty-five offices (in terms of numbers of employees).
Number and Street 1: Number and Street 2:
PHN VANCOUVER 1055 W GEORGIA ST - 34TH FLR ROYAL CENTRE
City: State: Country: ZIP+4/Postal Code:
VANCOUVER, BRITISH COLUMBIA Canada V6E 3P3
If this address is a private residence, check this box:
Telephone Number: Facsimile Number, if any:
604-257-7120 604-665-0180
If this office location is also required to be registered with FINRA or a state securities authority as a branch office location for a broker-dealer or investment
adviser on the Uniform Branch Office Registration Form (Form BR), please provide the CRD Branch Number here:
How many employees perform investment advisory functions from this office location?
19
Are other business activities conducted at this office location? (check all that apply)
(1) Broker-dealer (registered or unregistered)
(2) Bank (including a separately identifiable department or division of a bank)
(3) Insurance broker or agent
(4) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(5) Registered municipal advisor
(6) Accountant or accounting firm
(7) Lawyer or law firm
Describe any other investment-related business activities conducted from this office location:
EMPLOYEES ARE DUALLY REGISTERED WITH RELATED CANADIAN REGISTERED PORTFOLIO MANAGER, RBCPHILLIPS, HAGER & NORTH INVESTMENT COUNSEL
INC., AND/OR RELATED CANADIAN INSURANCE AGENT, RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
SECTION 1.I. Website Addresses
No Information Filed
SECTION 1.L. Location of Books and Records
Complete the following information for each location at which you keep your books and records, other than your principal office and place of business. You
must complete a separate Schedule D, Section 1.L. for each location.
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90415 - ON RBCDS INC-LEASIDE 45 WICKSTEED AVE - 2ND FLR
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M4G 4H9
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
416-699-4411 416-699-9016
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90761 - SK RBCDS INC-SASKATOON 410 - 22ND STREET EAST, 10TH FLOOR
City: State: Country: ZIP+4/Postal Code:
SASKATOON, SASKATCHEWAN Canada S7K 5T6
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
306-956-5200 306-956-5218
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN VICTORIA 707 FORT STREET, SUITE 502
City: State: Country: ZIP+4/Postal Code:
VICTORIA, BRITISH COLUMBIA Canada V8W 3G3
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
604-363-1367 250-356-3929
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90711 - AB RBCDS INC-LETHBRIDGE 204 1ST AVE S
City: State: Country: ZIP+4/Postal Code:
LETHBRIDGE, ALBERTA Canada T1J 0A4
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
403-317-4300 403-317-4333
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90505 - ON RBCDS INC-CORNWALL 10 THIRD ST E
City: State: Country: ZIP+4/Postal Code:
CORNWALL, ONTARIO Canada K6H 2C7
If this address is a private residence, check this box:
Telephone Number: Facsimile number, if any:
613-933-0283 613-933-8475
This is (check one):
one of your branch offices or affiliates.
a third-party unaffiliated recordkeeper.
other.
Briefly describe the books and records kept at this location.
ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN HALIFAX 1871 HOLLIS ST - 8TH FLR
City: State: Country: ZIP+4/Postal Code:
HALIFAX, NOVA SOCTIA Canada B3J 0C3
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Telephone Number: Facsimile number, if any:
902-420-8341 902-420-3894
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90409 - ON RBCDS INC-AURORA (BAYVIEW) 15420 BAYVIEW AVE
City: State: Country: ZIP+4/Postal Code:
AURORA, ONTARIO Canada L4G 7J1
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Telephone Number: Facsimile number, if any:
905-841-2800 905-841-7616
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ACCOUNT OPENING DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90776 - SK RBCDS INC-SWIFT CURRENT 137 1ST AVE NE
City: State: Country: ZIP+4/Postal Code:
SWIFT CURRENT, SASKATCHEWAN Canada S9H 2B1
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Telephone Number: Facsimile number, if any:
306-773-1591 306-773-8602
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90536 - ON RBCDS INC-OAKVILLE TOWNE SQ 435 NORTH SERVICE ROAD WEST, SUITE 301
City: State: Country: ZIP+4/Postal Code:
OAKVILLE, ONTARIO Canada L6M 4X8
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Telephone Number: Facsimile number, if any:
905-469-7000 905-849-4033
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90514 - ON RBCDS INC-COBOURG 204D DIVISION ST
City: State: Country: ZIP+4/Postal Code:
COBOURG, ONTARIO Canada K9A 3P7
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905-372-3385 705-743-4516
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90407 - ON RBCDS INC-NEWMARKET 17120 LESLIE STREET, SUITE 200
City: State: Country: ZIP+4/Postal Code:
NEWMARKET, ONTARIO Canada L3Y 8K7
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Telephone Number: Facsimile number, if any:
905-895-2377 905-895-8781
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90331 - QC RBCDS INC-QUEBEC CITY COMPLEXE JULES-DALLAIRE, 2828 BOUL. LAURIER, #800
City: State: Country: ZIP+4/Postal Code:
QUEBEC CITY, QUEBEC Canada G1V 0C1
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Telephone Number: Facsimile number, if any:
418-527-6768 418-654-0535
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90282 - NB RBCDS INC-ST JOHN NEW BR 55 UNION ST SUITE 650
City: State: Country: ZIP+4/Postal Code:
SAINT JOHN, NEW BRUNSWICK Canada E2L 5B7
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Telephone Number: Facsimile number, if any:
506-637-7500 506-637-7524
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90423 - ON RBCDS INC - BROOKFIELD PLACE 23 2350-181 BAY ST, BCE PLACE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2V1
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Telephone Number: Facsimile number, if any:
416-231-6766 416-842-3472
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN LONDON 148 FULLARTON STREET, 18TH FLOOR
City: State: Country: ZIP+4/Postal Code:
LONDON, ONTARIO Canada N6A 1H8
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Telephone Number: Facsimile number, if any:
1-800-361-6754 519-432-5315
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90721 - AB RBCDS INC-RED DEER 4900 50TH ST-SUITE 300
City: State: Country: ZIP+4/Postal Code:
RED DEER, ALBERTA Canada T4N 1X7
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Telephone Number: Facsimile number, if any:
403-341-8888 403-341-8887
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90337 - QC RBCDS INC-TROIS-RIVIERES 25 RUE DES FORGES, BUREAU 100
City: State: Country: ZIP+4/Postal Code:
TROIS-RIVIERES, QUEBEC Canada G9A 6A8
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Telephone Number: Facsimile number, if any:
819-379-3600 819-379-2029
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90736 - AB RBCDS INC-EDMONTON ARENA DISTRICT 10111 - 104 AVENUE, 2300 EDMONTON TOWER
City: State: Country: ZIP+4/Postal Code:
EDMONTON, ALBERTA Canada T5J 0J4
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Telephone Number: Facsimile number, if any:
780-428-0601 780-426-7838
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90823 - BC RBCDS INC-KAMLOOPS 402 - 186 VICTORIA ST
City: State: Country: ZIP+4/Postal Code:
KAMLOOPS, BRITISH COLUMBIA Canada V2C 5R3
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Telephone Number: Facsimile number, if any:
250-372-8006 250-372-9513
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90504 - ON RBCDS INC-BROCKVILLE 82 KING STREET WEST
City: State: Country: ZIP+4/Postal Code:
BROCKVILLE, ONTARIO Canada K6V 3P9
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Telephone Number: Facsimile number, if any:
613-345-7555 613-345-7707
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90322 - QC RBCDS INC-GRANBY 35 DUFFERIN ST
City: State: Country: ZIP+4/Postal Code:
GRANBY, QUEBEC Canada J2G 4W5
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Telephone Number: Facsimile number, if any:
450-375-8181 450-375-8180
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90414 - ON RBCDS INC-VAUGHAN/CONCORD 3300 HIGHWAY 7 W - 7TH FLR SUITE 701
City: State: Country: ZIP+4/Postal Code:
CONCORD, ONTARIO Canada L4K 4M3
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Telephone Number: Facsimile number, if any:
905-738-3200 905-738-4190
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90522 - ON RBCDS INC-DURHAM REGION 17 KING ST E - 3RD FLR
City: State: Country: ZIP+4/Postal Code:
OSHAWA, ONTARIO Canada L1H 1A8
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Telephone Number: Facsimile number, if any:
905-434-6161 905-436-5068
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN QUEBEC CITY COMPLEXE JULES-DALLAIRE, 2828 LAURER BOULEVARD
City: State: Country: ZIP+4/Postal Code:
QUEBEC CITY, QUEBEC Canada G1V 0B9
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Telephone Number: Facsimile number, if any:
418-654-3060 419-654-3059
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90544 - ON RBCDS INC-COLLINGWOOD 1 FIRST STREET, SUITE 230
City: State: Country: ZIP+4/Postal Code:
COLLINGWOOD, ONTARIO Canada L9Y 1A1
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Telephone Number: Facsimile number, if any:
705-444-4774 705-444-1551
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN OTTAWA 50 O'CONNOR STREET, SUITE 915
City: State: Country: ZIP+4/Postal Code:
OTTAWA, ONTARIO Canada K1P 6L2
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Telephone Number: Facsimile number, if any:
902-420-8341 613-239-3812
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90542 - ON RBCDS INC-ORILLIA 19 FRONT ST N - SUITE 200
City: State: Country: ZIP+4/Postal Code:
ORILLIA, ONTARIO Canada L3V 4R6
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Telephone Number: Facsimile number, if any:
705-329-1255 705-329-1292
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN WINNIPEG 220 PORTAGE AVENUE, SUITE 1605
City: State: Country: ZIP+4/Postal Code:
WINNIPEG, MANITOBA Canada R3C 0A5
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Telephone Number: Facsimile number, if any:
(403) 390-2470
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90857 - BC RBCDS INC-COURTENAY 777A FITZGERALD AVE
City: State: Country: ZIP+4/Postal Code:
COURTENAY, BRITISH COLUMBIA Canada V9N 2R4
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Telephone Number: Facsimile number, if any:
250-334-5600 250-338-0496
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90508 - ON RBCDS INC-BELLS CORNERS 303 MOODIE DRIVE, SUITE 5500
City: State: Country: ZIP+4/Postal Code:
OTTAWA Canada K2H 9R4
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Telephone Number: Facsimile number, if any:
613-721-4670 613-721-4680
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
ROSEDALE EXPEDITER LTD.
Number and Street 1: Number and Street 2:
CNR BUILDING, INDUSTRIAL PARK, 24 SHEDDEN ROAD
City: State: Country: ZIP+4/Postal Code:
GEORGETOWN, GRAND CAYMAN Cayman Islands KY1-1103
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Telephone Number: Facsimile number, if any:
345-949-6836 345-949-0092
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CLIENT RECORDS AND ACCOUNT DOCUMENTATION
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90868 - BC RBCDS INC-VANCOUVER INTL 1055 W GEORGIA ST - 33RD FLR ROYAL CENTRE
City: State: Country: ZIP+4/Postal Code:
VANCOUVER, BRITISH COLUMBIA Canada V6E 3S5
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Telephone Number: Facsimile number, if any:
604-257-7120 604-257-7168
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90601 - ON RBCDS INC-NORTH BAY 945 STOCKDALE RD - SUITE 100
City: State: Country: ZIP+4/Postal Code:
NORTH BAY, ONTARIO Canada P1B 9S5
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Telephone Number: Facsimile number, if any:
705-476-3444 705-495-3389
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90731 - AB RBCDS INC-EDMONTON CP 301- 1074 103A STREET SW
City: State: Country: ZIP+4/Postal Code:
EDMONTON, ALBERTA Canada T6W 1A1
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Telephone Number: Facsimile number, if any:
780-944-8800 780-424-7153
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90806 - BC RBCDS INC-NEW WESTMINSTER 4370 KINGSWAY, 12TH FLOOR
City: State: Country: ZIP+4/Postal Code:
BURNABY Canada V5H 4G9
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Telephone Number: Facsimile number, if any:
604-257-7799 604-257-7444
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
RBC CENTRE 155 WELLINGTON STREET WEST, 17TH FLOOR
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5V 3K7
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Telephone Number: Facsimile number, if any:
416-955-6400 416-955-8334
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90551 - ON RBCDS INC-GUELPH 42 WYNDHAM STREET NORTH, 3RD FLOOR
City: State: Country: ZIP+4/Postal Code:
GUELPH, ONTARIO Canada N1H 4E6
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Telephone Number: Facsimile number, if any:
519-822-1900 519-822-1982
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90591 - ON RBCDS INC-OWEN SOUND 619-10TH ST W - SUITE 2
City: State: Country: ZIP+4/Postal Code:
OWEN SOUND, ONTARIO Canada N4K 3R8
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Telephone Number: Facsimile number, if any:
519-376-2410 705-444-1551
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90326 - QC RBCDS INC-SHERBROOKE 455 KING ST W, SUITE 320
City: State: Country: ZIP+4/Postal Code:
SHERBROOKE, QUEBEC Canada J1H 6E9
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Telephone Number: Facsimile number, if any:
819-829-5533 819-823-5900
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90341 - QC RBCDS INC-LAVAL 545 PROMENADE DU CENTROPOLIS, BUREAU 200
City: State: Country: ZIP+4/Postal Code:
LAVAL, QUEBEC Canada H7T 0A3
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Telephone Number: Facsimile number, if any:
450-686-3434 450-686-3423
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN MONTREAL 1 PLACE VILLE MARIE, 6TH FLOOR, EAST WING
City: State: Country: ZIP+4/Postal Code:
MONTREAL, QUEBEC Canada H3B 3Y1
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Telephone Number: Facsimile number, if any:
514-874-7222 514-876-2778
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90503 - ON RBCDS INC-OTTAWA PRESTON 333 PRESTON ST - 11TH FLR
City: State: Country: ZIP+4/Postal Code:
OTTAWA, ONTARIO Canada K1S 5N4
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Telephone Number: Facsimile number, if any:
613-564-4800 613-564-4801
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90853 - BC RBCDS INC-SIDNEY 2491 BEVAN AVE - UNIT 1
City: State: Country: ZIP+4/Postal Code:
SIDNEY, BRITISH COLUMBIA Canada V8L 1W2
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Telephone Number: Facsimile number, if any:
250-655-2880 250-655-2890
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90825 - BC RBCDS INC-PENTICTON 101-100 FRONT ST
City: State: Country: ZIP+4/Postal Code:
PENTICTON, BRITISH COLUMBIA Canada V2A 1H1
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Telephone Number: Facsimile number, if any:
250-492-0344 250-712-2177
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90288 - PE RBCDS INC-CHARLOTTETOWN 134 KENT ST. SUITE 602
City: State: Country: ZIP+4/Postal Code:
CHARLOTTETOWN, PRINCE EDWARD ISLAND Canada C1A 8R8
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Telephone Number: Facsimile number, if any:
902-566-5544 902-566-1569
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90286 - NB RBCDS INC-MONCTON 633 MAIN ST - SUITE 650
City: State: Country: ZIP+4/Postal Code:
MONCTON, NEW BRUNSWICK Canada E1C 9X9
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Telephone Number: Facsimile number, if any:
506-869-5444 506-869-5460
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90428 - ON RBCDS INC-YONGE & BLOOR 2 BLOOR STREET EAST, SUITE 3000
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M4W 3H7
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Telephone Number: Facsimile number, if any:
416-974-2977 416-974-3057
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES GLOBAL LIMITED
Number and Street 1: Number and Street 2:
93100 - BS RBCDS GLOBAL LTD-BAHAMAS BR ALBANY FINANCIAL CENTRE, 2ND FLOOR, P.O. BOX N3234
City: State: Country: ZIP+4/Postal Code:
NASSAU, BAHAMAS Bahamas, The N-3234
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Telephone Number: Facsimile number, if any:
242-702-5950
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90615 - ON RBCDS INC-SAULT STE MARIE 432 GREAT NORTHERN RD - SUITE 300
City: State: Country: ZIP+4/Postal Code:
SAULT STE MARIE, ONTARIO Canada P6B 4Z9
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Telephone Number: Facsimile number, if any:
705-759-6100 705-523-3726
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90588 - ON RBCDS INC-STRATFORD 187 ONTARIO ST
City: State: Country: ZIP+4/Postal Code:
STRATFORD, ONTARIO Canada N5A 3H3
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Telephone Number: Facsimile number, if any:
519-271-4611 519-271-7429
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90323 - QC RBCDS INC-RIVE-SUD 2000 RUE DE L'ECLIPSE, 6E ETAGE
City: State: Country: ZIP+4/Postal Code:
BROSSARD, QUEBEC Canada J4Z 0S2
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450-656-2045
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN MISSISSAUGA 4 ROBERT SPECK PARKWAY, 10TH FLOOR
City: State: Country: ZIP+4/Postal Code:
MISSISSAUGA, ONTARIO Canada L4Z 1S1
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Telephone Number: Facsimile number, if any:
1-877-685-5683
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90453 - ON RBCDS INC-TOR BEACHES 2175 QUEEN ST E - 2ND FLR
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M4E 1E5
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Telephone Number: Facsimile number, if any:
416-699-4411 416-699-2420
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN TORONTO 200 BAY STREET, SOUTH TOWER 17TH FLOOR
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2J5
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Telephone Number: Facsimile number, if any:
1-800-661-6141 476-360-4347
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ACCOUNT DOCUMENTATIN AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES GLOBAL LIMITED
Number and Street 1: Number and Street 2:
93097 - KY RBCDS GLOBAL LTD-CAYMAN BR 24 SHEDDEN ROAD - 4TH FLR
City: State: Country: ZIP+4/Postal Code:
GRORGETOWN, GRAND CAYMAN Cayman Islands KY1-1103
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Telephone Number: Facsimile number, if any:
345-949-6836 345-949-0092
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90717 - AB RBCDS INC-CALGARY BRANCH 14505 BANNISTER ROAD SE, SUITE 203
City: State: Country: ZIP+4/Postal Code:
CALGARY, ALBERTA Canada T2X 3J3
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Telephone Number: Facsimile number, if any:
403-299-6553 403-299-6513
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90613 - ON RBCDS INC-SUDBURY 1361 PARIS ST, STE 200
City: State: Country: ZIP+4/Postal Code:
SUDBURY, ONTARIO Canada P3E 3B6
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Telephone Number: Facsimile number, if any:
705-523-3100 705-523-3726
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90706 - AB RBCDS INC-CALGARY NORTH 600 CROWFOOT CRES NW, SUITE 410
City: State: Country: ZIP+4/Postal Code:
CALGARY, ALBERTA Canada T3G 0B4
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Telephone Number: Facsimile number, if any:
403-299-2390 403-299-6512
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90809 - BC RBCDS INC-WEST VANCOUVER 212-5760 TEREDO ST
City: State: Country: ZIP+4/Postal Code:
SECHELT, BRITISH COLUMBIA Canada V0N 3A0
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Telephone Number: Facsimile number, if any:
604-885-0154 604-885-0619
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90546 - ON RBCDS INC-BRACEBRIDGE 1 FIRST STREET, SUITE 230
City: State: Country: ZIP+4/Postal Code:
COLLINGWOOD, ONTARIO Canada L9Y 1A1
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Telephone Number: Facsimile number, if any:
705-444-4774 705-444-1551
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90348 - QC RBCDS INC-GATINEAU R13-200 RUE MONTCALM
City: State: Country: ZIP+4/Postal Code:
GATINEAU, QUEBEC Canada J8Y 3B5
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Telephone Number: Facsimile number, if any:
819-776-1500 819-776-4900
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90555 - ON RBCDS INC-CAMBRIDGE 231 SHEARSON CRES - 3RD FLR SUITE 301
City: State: Country: ZIP+4/Postal Code:
CAMBRIDGE, ONTARIO Canada N1T 1J5
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Telephone Number: Facsimile number, if any:
519-621-6994 519-621-8561
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90814 - BC RBCDS INC-COQUITLAM 2950 GLEN DR-7TH FLR
City: State: Country: ZIP+4/Postal Code:
COQUITLAM, BRITISH COLUMBIA Canada V3B 0J1
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Telephone Number: Facsimile number, if any:
604-257-7799 778-284-2522
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90715 - AB RBCDS INC-MEDICINE HAT 320 SOUTH RAILWAY ST SE
City: State: Country: ZIP+4/Postal Code:
MEDICINE HAT, ALBERTA Canada T1A 2V4
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Telephone Number: Facsimile number, if any:
403-504-2700 403-504-2705
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90510 - ON RBCDS INC-PICKERING 1315 PICKERING PARKWAY, 7TH FLR
City: State: Country: ZIP+4/Postal Code:
PICKERING, ONTARIO Canada L1V 7G5
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Telephone Number: Facsimile number, if any:
905-420-3430 905-839-8731
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90637 - ON RBCDS INC-CHATHAM 382 WELLINGTON STREET WEST
City: State: Country: ZIP+4/Postal Code:
CHATHAM, ONTARIO Canada N7M 1K4
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Telephone Number: Facsimile number, if any:
519-352-1510 519-352-4918
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90829 - BC RBCDS INC-RICHMOND 450 SOUTHWEST MARINE DRIVE,16TH FLOOR
City: State: Country: ZIP+4/Postal Code:
VANCOUVER Canada V5X 4V2
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Telephone Number: Facsimile number, if any:
604-718-3000 604-718-3050
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90565 - ON RBCDS INC-BRANTFORD 274 LYNDEN RD - SUITE A
City: State: Country: ZIP+4/Postal Code:
BRANTFORD, ONTARIO Canada N3R 0B9
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Telephone Number: Facsimile number, if any:
519-756-1800 519-756-3177
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90561 - ON RBCDS INC-WATERLOO 95 KING STREET SOUTH, 3RD FLOOR
City: State: Country: ZIP+4/Postal Code:
WATERLOO, ONTARIO Canada N2J 5A2
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Telephone Number: Facsimile number, if any:
519-747-8007 519-747-1808
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN WATERLOO 95 KING STREET, SUITE 202
City: State: Country: ZIP+4/Postal Code:
WATERLOO, ONTARIO Canada N2J 5A2
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Telephone Number: Facsimile number, if any:
1-877-730-0004 519-747-6929
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90533 - ON RBCDS INC-ORANGEVILLE 210 BROADWAY AVE, SUITE 207
City: State: Country: ZIP+4/Postal Code:
ORANGEVILLE, ONTARIO Canada L9W 5G4
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Telephone Number: Facsimile number, if any:
519-942-1811 519-822-1982
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90771 - SK RBCDS INC-REGINA 1133 4 STREET, SUITE 301
City: State: Country: ZIP+4/Postal Code:
REGINA, SASKATCHEWAN Canada S4A 0W6
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Telephone Number: Facsimile number, if any:
306-637-4490 306-757-2606
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90511 - ON RBCDS INC-PETERBOROUGH 60 HUNTER STREET EAST
City: State: Country: ZIP+4/Postal Code:
PETERBOROUGH, ONTARIO Canada K9H 1G5
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Telephone Number: Facsimile number, if any:
705-743-4275 705-743-4516
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90647 - ON RBCDS INC-WOODSTOCK 26 HURON ST
City: State: Country: ZIP+4/Postal Code:
WOODSTOCK, ONTARIO Canada N4S 6Z2
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Telephone Number: Facsimile number, if any:
519-539-9821 519-539-9259
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90515 - ON RBCDS INC-BELLEVILLE 10 FRONT ST. SOUTH - 3RD FLR
City: State: Country: ZIP+4/Postal Code:
BELLEVILLE, ONTARIO Canada K8N 2Y3
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Telephone Number: Facsimile number, if any:
800-267-0918 613-966-1811
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90328 - QC RBC DS INC-MONTREAL PVM 4 1 PLACE VILLE-MARIE, 3RD FLOOR
City: State: Country: ZIP+4/Postal Code:
MONTREAL, QUEBEC Canada H3B 4R8
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Telephone Number: Facsimile number, if any:
514-878-7000 514-878-7341
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90808 - BC RBCDS INC-ABBOTSFORD 2001 MCCALLUM ROAD, SUITE 301
City: State: Country: ZIP+4/Postal Code:
ABBOTSFORD, BRITISH COLUMBIA Canada V2S 3N5
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Telephone Number: Facsimile number, if any:
604-870-7100 604-870-7171
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90314 - QC RBCDS INC-BELOEIL 383, BOUL. SIR WILFRID LAURIER
City: State: Country: ZIP+4/Postal Code:
MONT SAINT-HILAIRE, QUEBEC Canada J3H 3P1
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Telephone Number: Facsimile number, if any:
450-536-1600 450-536-1586
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
IRON MOUNTAIN CANADA CORPORATION
Number and Street 1: Number and Street 2:
IRON MOUNTAIN CANADA CORPORATION 195 SUMMERLEA ROAD
City: State: Country: ZIP+4/Postal Code:
BRAMPTION, ONTARIO Canada L6T 4W4
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Telephone Number: Facsimile number, if any:
(800) 899-4766
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS.
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90441 - ON RBCDS INC-RBP 39 200 BAY STREET, SOUTH TOWER, SUITE 3900
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2J2
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Telephone Number: Facsimile number, if any:
416-842-2200 416-842-2220
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90417 - ON RBCDS INC-TORONTO EAST 111 GRANGEWAY AVE - 2ND FLR
City: State: Country: ZIP+4/Postal Code:
SCARBOROUGH, ONTARIO Canada M1H 3E9
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Telephone Number: Facsimile number, if any:
416-289-2430 416-289-3561
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90826 - BC RBCDS INC-CRANBROOK 926 BAKER ST - SUITE 1
City: State: Country: ZIP+4/Postal Code:
CRANBROOK, BRITISH COLUMBIA Canada V1C 1A5
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Telephone Number: Facsimile number, if any:
250-426-6237
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90621 - ON RBCDS INC-WINDSOR 1922 WYANDOTTE ST. E
City: State: Country: ZIP+4/Postal Code:
WINDSOR, ONTARIO Canada N8Y 1E4
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Telephone Number: Facsimile number, if any:
519-252-3663 519-252-3672
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90283 - NB RBCDS INC-FREDERICTON 371 QUEEN ST - 1ST FLR, SUITE 100
City: State: Country: ZIP+4/Postal Code:
FREDERICTON, NEW BRUNSWICK Canada E3B 1B1
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Telephone Number: Facsimile number, if any:
506-458-9174 506-459-2725
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90608 - ON RBCDS INC-THUNDER BAY 1001 WILLIAM STREET, SUITE 300
City: State: Country: ZIP+4/Postal Code:
THUNDER BAY, ONTARIO Canada P7B 6M1
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Telephone Number: Facsimile number, if any:
807-343-2042 807-345-3481
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90275 - NL RBCDS INC-ST JOHNS NFLD 10 FORT WILLIAM PLACE - 8TH FLR SUITE 803
City: State: Country: ZIP+4/Postal Code:
ST JOHN'S, NEWFOUNDLAND & LABRADOR Canada A1C 1K4
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Telephone Number: Facsimile number, if any:
709-576-4975 709-576-4922
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90451 - ON RBCDS INC-TOR RBP 25 200 BAY ST, SUITE 2500A
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2J5
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Telephone Number: Facsimile number, if any:
416-842-2300 416-842-2222
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90851 - BC RBCDS INC-VICTORIA ST. ANDREW'S SQUARE II, 730 VIEW STREET, SUITE 500
City: State: Country: ZIP+4/Postal Code:
VICTORIA, BRITISH COLUMBIA Canada V8W 3Y7
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Telephone Number: Facsimile number, if any:
250-356-4800 250-356-4880
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90452 - ON RBCDS INC-YONGE & ST CLAIR 2 SAINT CLAIR AVENUE WEST, SUITE 1900
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M4V 1L5
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Telephone Number: Facsimile number, if any:
416-296-0040 416-974-0332
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN VAUGHAN 3300 HIGHWAY 7 WEST, SUITE 360
City: State: Country: ZIP+4/Postal Code:
VAUGHAN, ONTARIO Canada L4K 4M3
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Telephone Number: Facsimile number, if any:
905-738-5001
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN GUELPH 42 WYNDHAM STREET N, 3RD FLOOR
City: State: Country: ZIP+4/Postal Code:
GUELPH, ONTARIO Canada N1H 4E6
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Telephone Number: Facsimile number, if any:
519-822-1900
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90581 - ON RBCDS INC-ST CATHARINES 63 CHURCH STREET, SUITE 306
City: State: Country: ZIP+4/Postal Code:
ST. CATHARINES, ONTARIO Canada L2R 3C4
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Telephone Number: Facsimile number, if any:
905-988-5888 905-988-5889
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN OAKVILLE 277 LAKESHORE RD E - 3RD FLR - SUITE 306
City: State: Country: ZIP+4/Postal Code:
OAKVILLE, ONTARIO Canada L6J 1H9
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Telephone Number: Facsimile number, if any:
905-845-4224 905-849-4010
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90805 - BC RBCDS INC-KERRISDALE 2052 WEST 41ST AVENUE, 3RD FLOOR
City: State: Country: ZIP+4/Postal Code:
VANCOUVER, BRITISH COLUMBIA Canada V6M 1Y8
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Telephone Number: Facsimile number, if any:
604-665-0699 604-266-1147
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90547 - ON RBCDS INC-MIDLAND 512 YONGE STREET
City: State: Country: ZIP+4/Postal Code:
MIDLAND, ONTARIO Canada L4R 2C5
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Telephone Number: Facsimile number, if any:
705-526-4683 705-527-6131
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90855 - BC RBCDS INC-NANAIMO 201-2755 BEVERLY ST
City: State: Country: ZIP+4/Postal Code:
DUNCAN, BRITISH COLUMBIA Canada V9L 6X2
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Telephone Number: Facsimile number, if any:
250-746-9494 250-746-0254
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN EDMONTON 10111 - 104TH AVENUE NW, SUITE 2420
City: State: Country: ZIP+4/Postal Code:
EDMONTON, ALBERTA Canada T5J 0J4
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Telephone Number: Facsimile number, if any:
780-670-7247 (780) 944-5042
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90421 - ON RBCDS INC - BROOKFIELD PLACE 21 2200-181 BAY ST, BCE PLACE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2T3
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Telephone Number: Facsimile number, if any:
416-842-7000 416-842-7070
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90605 - ON RBCDS INC - TIMMINS 103-100 ALGONQUIN BLVD E
City: State: Country: ZIP+4/Postal Code:
TIMMINS, ONTARIO Canada P4N 1A4
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Telephone Number: Facsimile number, if any:
705-759-7011 705-268-2949
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90811 - BC RBCDS INC-VERNON 2701A HIGHWAY 6
City: State: Country: ZIP+4/Postal Code:
VERNON, BRITISH COLUMBIA Canada V1T 5G6
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Telephone Number: Facsimile number, if any:
250-549-4050 250-545-4139
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90862 - BC RBCDS INC-OAKRIDGE INTL 450 SOUTHWEST MARINE DRIVE,16TH FLOOR
City: State: Country: ZIP+4/Postal Code:
VANCOUVER Canada V5X 4V2
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Telephone Number: Facsimile number, if any:
604-718-3000 604-257-7168
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90704 - AB RBCDS INC - CANMORE 1000 RAILWAY AVE
City: State: Country: ZIP+4/Postal Code:
CANMORE, ALBERTA Canada T1W 3H9
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Telephone Number: Facsimile number, if any:
403-678-3180 403-678-3187
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90835 - BC RBCDS INC-GEORGIA VIEW VIL 6588 APPLECROSS RD - UNIT 101
City: State: Country: ZIP+4/Postal Code:
NANAIMO, BRITISH COLUMBIA Canada V9V 0A4
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Telephone Number: Facsimile number, if any:
250-390-7163 250-729-3272
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
ROYAL BANK OF CANADA
Number and Street 1: Number and Street 2:
SUBSIDIARY GOVERNANCE OFFICE 200 BAY ST., SOUTH TOWER, 9TH FLOOR
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 2J2
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Telephone Number: Facsimile number, if any:
416-974-3940 416-974-3535
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CORPORATE RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90538 - ON RBCDS INC-BURLINGTON 4475 NORTH SERVICE RD, SUITE 400
City: State: Country: ZIP+4/Postal Code:
BURLINGTON, ONTARIO Canada L7L 4X7
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Telephone Number: Facsimile number, if any:
905-332-2600 905-332-2650
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90509 - ON RBCDS INC-KINGSTON 366 KING STREET EAST, SUITE 210
City: State: Country: ZIP+4/Postal Code:
KINGSTON, ONTARIO Canada K7K 6Y3
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Telephone Number: Facsimile number, if any:
613-549-6370 613-549-6555
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
ROYAL BANK OF CANADA
Number and Street 1: Number and Street 2:
ROYAL BANK OF CANADA, CORPORATE ARCHIVES 6880 FINANCIAL DRIVE, 2ND FLOOR
City: State: Country: ZIP+4/Postal Code:
MISSISSAUGA, ONTARIO Canada L5N 7Y5
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Telephone Number: Facsimile number, if any:
905-286-7100
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CORPORATE RECORDS
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN CALGARY 333 7TH AVENUE SW, SUITE 1100
City: State: Country: ZIP+4/Postal Code:
CALGARY, ALBERTA Canada T2P 2Z1
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Telephone Number: Facsimile number, if any:
403-390-2470 403-299-5201
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90832 - BC RBCDS INC-KELOWNA 1631 DICKSON AVE, SUITE 1400, LANDMARK 6
City: State: Country: ZIP+4/Postal Code:
KELOWNA, BRITISH COLUMBIA Canada V1Y 0B5
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Telephone Number: Facsimile number, if any:
604-363-1367 250-712-2120
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90839 - BC RBCDS INC-LANGLEY 8411 200TH STREET, UNIT 101
City: State: Country: ZIP+4/Postal Code:
LANGLEY, BRITISH COLUMBIA Canada V2Y 0E7
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Telephone Number: Facsimile number, if any:
604-881-8506 604-888-6504
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90530 - ON RBCDS INC-MISS LAKESHORE SB 1672 LAKESHORE RD W
City: State: Country: ZIP+4/Postal Code:
MISSISSAUGA, ONTARIO Canada L5J 1J5
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Telephone Number: Facsimile number, if any:
905-822-1926 905-822-1370
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90541 - ON RBCDS INC-BARRIE 11 VICTORIA ST - SUITE 100
City: State: Country: ZIP+4/Postal Code:
BARRIE, ONTARIO Canada L4N 6T3
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Telephone Number: Facsimile number, if any:
705-725-7400 705-728-6416
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90631 - ON RBCDS INC-SARNIA 340 NORTH FRONT STREET, P.O. BOX 2046
City: State: Country: ZIP+4/Postal Code:
SARNIA, ONTARIO Canada N7T 7L1
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Telephone Number: Facsimile number, if any:
519-337-3706 519-332-3775
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
Name of entity where books and records are kept:
RBC DOMINION SECURITIES INC.
Number and Street 1: Number and Street 2:
90587 - ON RBCDS INC-NIAGARA FALLS 4342 QUEEN STREET, SUITE 450
City: State: Country: ZIP+4/Postal Code:
NIAGARA FALLS, ONTARIO Canada L2E 7J7
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Telephone Number: Facsimile number, if any:
905-358-3262 905-358-3556
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CLIENT RECORDS AND ACCOUNT DOCUMENTATION
Name of entity where books and records are kept:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
Number and Street 1: Number and Street 2:
PHN KELOWNA 1631 DICKSON AVENUE, SUITE 1205
City: State: Country: ZIP+4/Postal Code:
KELOWNA, BRITISH COLUMBIA Canada V1Y 0B5
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Telephone Number: Facsimile number, if any:
250-469-7401 250-717-4802
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ACCOUNT DOCUMENTATION AND CLIENT RECORDS
SECTION 1.M. Registration with Foreign Financial Regulatory Authorities
List the name and country, in English, of each foreign financial regulatory authority with which you are registered. You must complete a separate Schedule D
Section 1.M. for each foreign financial regulatory authority with whom you are registered.
Name of Country/Foreign Financial Regulatory Authority:
Cayman Islands - Cayman Islands Monetary Authority
Other:
Item 2 SEC Registration/Reporting
Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2.A. only if you are applying for
SEC registration or submitting an annual updating amendment to your SEC registration. If you are filing an umbrella registration, the information in Item 2
should be provided for the filing adviser only.
A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.(1) through 2.A.(12), below. If you are submitting an
annual updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1A Instruction 2
provides information to help you determine whether you may affirmatively respond to each of these items.
You (the adviser):
(1) are a large advisory firm that either:
(a) has regulatory assets under management of $100 million (in U.S. dollars) or more; or
(b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating
amendment and is registered with the SEC;
(2) are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100
million (in U.S. dollars) and you are either:
(a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place
of business; or
(b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business;
Click HERE for a list of states in which an investment adviser, if registered, would not be subject to examination by the state securities
authority.
(3) Reserved
(4) have your principal office and place of business outside the United States;
(5) are an investment adviser (or subadviser) to an investment company registered under the Investment Company Act of 1940;
(6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the
Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under
management;
(7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption
in rule 203A-2(a);
(8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is
registered with the SEC, and your principal office and place of business is the same as the registered adviser;
If you check this box, complete Section 2.A.(8) of Schedule D.
(9) are an adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days;
If you check this box, complete Section 2.A.(9) of Schedule D.
(10) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d);
If you check this box, complete Section 2.A.(10) of Schedule D.
(11) are an Internet adviser relying on rule 203A-2(e);
If you check this box, complete Section 2.A.(11) of Schedule D.
(12) have received an SEC order exempting you from the prohibition against registration with the SEC;
If you check this box, complete Section 2.A.(12) of Schedule D.
(13) are no longer eligible to remain registered with the SEC.
State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers
C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they
file with the SEC. These are called notice filings. In addition, exempt reporting advisers may be required to provide state securities authorities with a copy
of reports and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to the state(s) that you would
like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to
additional state(s), check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit
to the SEC. If this is an amendment to your registration to stop your notice filings or reports from going to state(s) that currently receive them, uncheck
the box(es) next to those state(s).
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR
ID MT RI
If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that
state's notice filing or report filing fee for the coming year, your amendment must be filed before the end of the year (December 31).
SECTION 2.A.(8) Related Adviser
If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control
with an investment adviser that is registered with the SEC and your principal office and place of business is the same as that of the registered adviser,
provide the following information:
Name of Registered Investment Adviser
CRD Number of Registered Investment Adviser
SEC Number of Registered Investment Adviser
-
SECTION 2.A.(9) Investment Adviser Expecting to be Eligible for Commission Registration within 120 Days
If you are relying on rule 203A-2(c), the exemption from the prohibition on registration available to an adviser that expects to be eligible for SEC registration
within 120 days, you are required to make certain representations about your eligibility for SEC registration. By checking the appropriate boxes, you will b e
deemed to have made the required representations. You must make both of these representations:
I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to
register with the SEC within 120 days after the date my registration with the SEC becomes effective.
I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section
203A(a) of the Advisers Act from registering with the SEC.
SECTION 2.A.(10) Multi-State Adviser
If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations
about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations.
If you are applying for registration as an investment adviser with the SEC, you must make both of these representations:
I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an
investment adviser with the state securities authorities in those states.
I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15
states to register as an investment adviser with the state securities authorities of those states.
If you are submitting your annual updating amendment, you must make this representation:
Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required
by the laws of at least 15 states to register as an investment adviser with the state securities authorities in those states.
SECTION 2.A.(11) Internet Adviser
If you are relying on rule 203A-2(e), the Internet adviser exemption from the prohibition on registration, you are required to make a representation about
your eligibility for SEC registration. By checking the appropriate box, you will be deemed to have made the required representation.
If you are applying for registration as an investment adviser with the SEC or changing your existing Item 2 response regarding your eligibility for SEC
registration, you must make this representation:
I will provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive website.
If you are filing an annual updating amendment to your existing registration and are continuing to rely on the Internet adviser exemption for SEC
registration, you must make this representation:
I have provided and will continue to provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive
website.
SECTION 2.A.(12) SEC Exemptive Order
If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information:
Application Number:
803-
Date of order:
Item 3 Form of Organization
If you are filing an umbrella registration, the information in Item 3 should be provided for the filing adviser only.
A. How are you organized?
Corporation
Sole Proprietorship
Limited Liability Partnership (LLP)
Partnership
Limited Liability Company (LLC)
Limited Partnership (LP)
Other (specify):
If you are changing your response to this Item, see Part 1A Instruction 4.
B. In what month does your fiscal year end each year?
OCTOBER
C. Under the laws of what state or country are you organized?
State Country
Canada
If you are a partnership, provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor, provide the
name of the state or country where you reside.
If you are changing your response to this Item, see Part 1A Instruction 4.
Item 4 Successions
Yes No
A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser, including, for example, a change of your
structure or legal status (e.g., form of organization or state of incorporation)?
If "yes", complete Item 4.B. and Section 4 of Schedule D.
B. Date of Succession: (MM/DD/YYYY)
If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part 1A Instruction 4.
SECTION 4 Successions
No Information Filed
Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation
Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making
regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5.
Employees
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item 5.A. and Items 5.B.(1), (2), (3), (4), and (5). If an
employee performs more than one function, you should count that employee in each of your responses to Items 5.B.(1), (2), (3), (4), and (5).
A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
1455
B. (1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
1455
(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
1354
(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser
representatives?
292
(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser
representatives for an investment adviser other than you?
0
(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency?
1048
(6) Approximately how many firms or other persons solicit advisory clients on your behalf?
4
In your response to Item 5.B.(6), do not count any of your employees and count a firm only once – do not count each of the firm's employees that solicit on
your behalf.
Clients
In your responses to Items 5.C. and 5.D. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship
with those investors.
C. (1) To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services
during your most recently completed fiscal year?
0
(2) Approximately what percentage of your clients are non-United States persons?
3%
D. For purposes of this Item 5.D., the category "individuals" includes trusts, estates, and 401(k) plans and IRAs of individuals and their family members, but does
not include businesses organized as sole proprietorships.
The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of
1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment
Company Act of 1940, do not answer (1)(d) or (3)(d) below.
Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below)
attributable to each of the following type of client. If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check
Item 5.D.(2) rather than respond to Item 5.D.(1).
The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under
management reported in Item 5.F.(2)(c) below.
If a client fits into more than one category, select one category that most accurately represents the client to avoid double counting clients and assets. If
you advise a registered investment company, business development company, or pooled investment vehicle, report those assets in categories (d), (e),
and (f) as applicable.
(1) Number of (2) Fewer than (3) Amount of Regulatory Assets
Type of Client Client(s) 5 Clients under Management
(a) Individuals (other than high net worth individuals) 4529 $ 1,626,314,753
(b) High net worth individuals 1244 $ 4,991,028,273
(c) Banking or thrift institutions $
(d) Investment companies $
(e) Business development companies $
(f) Pooled investment vehicles (other than investment companies and $
business development companies)
(g) Pension and profit sharing plans (but not the plan participants or $
government pension plans)
(h) Charitable organizations $
(i) State or municipal government entities (including government pension $
plans)
(j) Other investment advisers $
(k) Insurance companies $
(l) Sovereign wealth funds and foreign official institutions $
(m) Corporations or other businesses not listed above 194 $ 1,270,291,744
(n) Other: $
Compensation Arrangements
E. You are compensated for your investment advisory services by (check all that apply):
(1) A percentage of assets under your management
(2) Hourly charges
(3) Subscription fees (for a newsletter or periodical)
(4) Fixed fees (other than subscription fees)
(5) Commissions
(6) Performance-based fees
(7) Other (specify):
Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
Regulatory Assets Under Management
Yes No
F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios?
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts?
U.S. Dollar Amount Total Number of Accounts
Discretionary: (a) $ 7,670,366,932 (d) 9,314
Non-Discretionary: (b) $ 217,267,838 (e) 31
Total: (c) $ 7,887,634,770 (f) 9,345
Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when
completing this Item.
(3) What is the approximate amount of your total regulatory assets under management (reported in Item 5.F.(2)(c) above) attributable to clients who
are non-United States persons?
$ 861,450,685
Item 5 Information About Your Advisory Business - Advisory Activities
Advisory Activities
G. What type(s) of advisory services do you provide? Check all that apply.
(1) Financial planning services
(2) Portfolio management for individuals and/or small businesses
(3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to
section 54 of the Investment Company Act of 1940)
(4) Portfolio management for pooled investment vehicles (other than investment companies)
(5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and
other pooled investment vehicles)
(6) Pension consulting services
(7) Selection of other advisers (including private fund managers)
(8) Publication of periodicals or newsletters
(9) Security ratings or pricing services
(10) Market timing services
(11) Educational seminars/workshops
(12) Other(specify):
Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the
Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or
investment companies to which you provide advice in Section 5.G.(3) of Schedule D.
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
0
1 - 10
11 - 25
26 - 50
51 - 100
101 - 250
251 - 500
More than 500
If more than 500, how many?
(round to the nearest 500)
In your responses to this Item 5.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship
with those investors.
Yes No
I. (1) Do you participate in a wrap fee program?
(2) If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:
(a) sponsor to a wrap fee program
$ 1,387,802,252
(b) portfolio manager for a wrap fee program?
$0
(c) sponsor to and portfolio manager for the same wrap fee program?
$ 5,750,606,545
If you report an amount in Item 5.I.(2)(c), do not report that amount in Item 5.I.(2)(a) or Item 5.I.(2)(b).
If you are a portfolio manager for a wrap fee program, list the names of the programs, their sponsors and related information in Section 5.I.(2) of Schedule D.
If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a
wrap fee program, do not check Item 5.I.(1) or enter any amounts in response to Item 5.I.(2).
Yes No
J. (1) In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of
investments?
(2) Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your
regulatory assets under management?
K. Separately Managed Account Clients
Yes No
(1) Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately
managed account clients)?
If yes, complete Section 5.K.(1) of Schedule D.
(2) Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(3) Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(4) After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold
ten percent or more of this remaining amount of regulatory assets under management?
If yes, complete Section 5.K.(3) of Schedule D for each custodian.
L. Marketing Activities
Yes No
(1) Do any of your advertisements include:
(a) Performance results?
(b) A reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5))?
(c) Testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(d) Endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(e) Third-party ratings?
(2) If you answer "yes" to L(1)(c), (d), or (e) above, do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in
connection with the use of testimonials, endorsements, or third-party ratings?
(3) Do any of your advertisements include hypothetical performance ?
(4) Do any of your advertisements include predecessor performance ?
SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies
No Information Filed
SECTION 5.I.(2) Wrap Fee Programs
If you are a portfolio manager for one or more wrap fee programs, list the name of each program and its sponsor. You must complete a separate Schedule D
Section 5.I.(2) for each wrap fee program for which you are a portfolio manager.
Name of Wrap Fee Program
ADVISOR PROGRAM
Name of Sponsor
RBC PRIVATE COUNSEL (USA) INC.
Sponsor's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-):
801 - 55491
Sponsor's CRD Number (if any):
109648
Name of Wrap Fee Program
PRIVATE INVESTMENT MANAGEMENT
Name of Sponsor
RBC PRIVATE COUNSEL (USA) INC.
Sponsor's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-):
801 - 55491
Sponsor's CRD Number (if any):
109648
SECTION 5.K.(1) Separately Managed Accounts
After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of
this remaining amount attributable to each of the following categories of assets. If the remaining amount is at least $10 billion in regulatory assets under
management, complete Question (a). If the remaining amount is less than $10 billion in regulatory assets under management, complete Question (b).
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
If you are a subadviser to a separately managed account, you should only provide information with respect to the portion of the account that you
subadvise.
End of year refers to the date used to calculate your regulatory assets under management for purposes of your annual updating amendment . Mid-year is the
date six months before the end of year date. Each column should add up to 100% and numbers should be rounded to the nearest percent.
Investments in derivatives, registered investment companies, business development companies, and pooled investment vehicles should be reported in
those categories. Do not report those investments based on related or underlying portfolio assets. Cash equivalents include bank deposits, certificates of
deposit, bankers' acceptances and similar bank instruments.
Some assets could be classified into more than one category or require discretion about which category applies. You may use your own internal
methodologies and the conventions of your service providers in determining how to categorize assets, so long as the methodologies or conventions are
consistently applied and consistent with information you report internally and to current and prospective clients. However, you should not double count
assets, and your responses must be consistent with any instructions or other guidance relating to this Section.
(a) Asset Type Mid-year End of year
(i) Exchange-Traded Equity Securities % %
(ii) Non Exchange-Traded Equity Securities % %
(iii) U.S. Government/Agency Bonds % %
(iv) U.S. State and Local Bonds % %
(v) Sovereign Bonds % %
(vi) Investment Grade Corporate Bonds % %
(vii) Non-Investment Grade Corporate Bonds % %
(viii) Derivatives % %
(ix) Securities Issued by Registered Investment Companies or Business Development Companies % %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business % %
Development Companies)
(xi) Cash and Cash Equivalents % %
(xii) Other % %
Generally describe any assets included in "Other"
(b) Asset Type End of year
(i) Exchange-Traded Equity Securities 54 %
(ii) Non Exchange-Traded Equity Securities 0%
(iii) U.S. Government/Agency Bonds 4%
(iv) U.S. State and Local Bonds 0%
(v) Sovereign Bonds 4%
(vi) Investment Grade Corporate Bonds 8%
(vii) Non-Investment Grade Corporate Bonds 0%
(viii) Derivatives 0%
(ix) Securities Issued by Registered Investment Companies or Business Development Companies 16 %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development 0%
Companies)
(xi) Cash and Cash Equivalents 12 %
(xii) Other 2%
Generally describe any assets included in "Other"
CANADIAN MUTUAL FUNDS FIXED INCOME ETFS AND OTHER NON-US ETF ALTERNATIVE INVESTMENTS
SECTION 5.K.(2) Separately Managed Accounts - Use of Borrowingsand Derivatives
No information is required to be reported in this Section 5.K.(2) per the instructions of this Section 5.K.(2)
If your regulatory assets under management attributable to separately managed accounts are at least $10 billion, you should complete Question (a). If your
regulatory assets under management attributable to separately managed accounts are at least $500 million but less than $10 billion, you should complete
Question (b).
(a) In the table below, provide the following information regarding the separately managed accounts you advise. If you are a subadviser to a separately
managed account, you should only provide information with respect to the portion of the account that you subadvise. End of year refers to the date
used to calculate your regulatory assets under management for purposes of your annual updating amendment. Mid-year is the date six months before
the end of year date.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross
notional exposure. For purposes of this table, the gross notional exposure of an account is the percentage obtained by dividing (i) the sum of (a) the
dollar amount of any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts
included in column 1 with respect to each category of derivatives specified in 3(a) through (f).
You may, but are not required to, complete the table with respect to any separately managed account with regulatory assets under management of
less than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
(i) Mid-Year
Gross Notional (1) Regulatory Assets (2)
Exposure Under Management Borrowings (3) Derivative Exposures
(a) Interest (b) Foreign
Rate Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ $ % % % % % %
10-149% $ $ % % % % % %
150% or more $ $ % % % % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
(ii) End of Year
Gross Notional (1) Regulatory Assets (2)
Exposure Under Management Borrowings (3) Derivative Exposures
(a) Interest (b) Foreign
Rate Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ $ % % % % % %
10-149% $ $ % % % % % %
150% or more $ $ % % % % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
(b) In the table below, provide the following information regarding the separately managed accounts you advise as of the date used to calculate your
regulatory assets under management for purposes of your annual updating amendment. If you are a subadviser to a separately managed account, you
should only provide information with respect to the portion of the account that you subadvise.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross
notional exposure. For purposes of this table, the gross notional exposure of an account is the percentage obtained by dividing (i) the sum of (a) the
dollar amount of any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
You may, but are not required to, complete the table with respect to any separately managed accounts with regulatory assets under management of
less than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
Gross Notional Exposure (1) Regulatory Assets Under Management (2) Borrowings
Less than 10% $ $
10-149% $ $
150% or more $ $
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the
management of the separately managed accounts that you advise.
SECTION 5.K.(3) Custodians for Separately Managed Accounts
Complete a separate Schedule D Section 5.K.(3) for each custodian that holds ten percent or more of your aggregate separately managed account
regulatory assets under management.
(a) Legal name of custodian:
RBC DOMINION SECURITIES INC.
(b) Primary business name of custodian:
RBC DOMINION SECURITIES INC.
(c) The location(s) of the custodian's office(s) responsible for custody of the assets :
City: State: Country:
TORONTO, ONTARIO Canada
Yes No
(d) Is the custodian a related person of your firm?
(e) If the custodian is a broker-dealer, provide its SEC registration number (if any)
-
(f) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if
any)
549300QJJX6CVVUXLE15
(g) What amount of your regulatory assets under management attributable to separately managed accounts is held at the custodian?
$ 7,121,670,514
(a) Legal name of custodian:
THE ROYAL TRUST COMPANY
(b) Primary business name of custodian:
ROYAL TRUST
(c) The location(s) of the custodian's office(s) responsible for custody of the assets :
City: State: Country:
TORONTO, ONTARIO Canada
Yes No
(d) Is the custodian a related person of your firm?
(e) If the custodian is a broker-dealer, provide its SEC registration number (if any)
-
(f) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if
any)
(g) What amount of your regulatory assets under management attributable to separately managed accounts is held at the custodian?
$ 728,868,362
Item 6 Other Business Activities
In this Item, we request information about your firm's other business activities.
A. You are actively engaged in business as a (check all that apply):
(1) broker-dealer (registered or unregistered)
(2) registered representative of a broker-dealer
(3) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(4) futures commission merchant
(5) real estate broker, dealer, or agent
(6) insurance broker or agent
(7) bank (including a separately identifiable department or division of a bank)
(8) trust company
(9) registered municipal advisor
(10) registered security-based swap dealer
(11) major security-based swap participant
(12) accountant or accounting firm
(13) lawyer or law firm
(14) other financial product salesperson (specify):
If you engage in other business using a name that is different from the names reported in Items 1.A. or 1.B.(1), complete Section 6.A. of Schedule D.
Yes No
B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)?
(2) If yes, is this other business your primary business?
If "yes," describe this other business on Section 6.B.(2) of Schedule D, and if you engage in this business under a different name, provide that name.
Yes No
(3) Do you sell products or provide services other than investment advice to your advisory clients?
If "yes," describe this other business on Section 6.B.(3) of Schedule D, and if you engage in this business under a different name, provide that name.
SECTION 6.A. Names of Your Other Businesses
No Information Filed
SECTION 6.B.(2) Description of Primary Business
Describe your primary business (not your investment advisory business):
If you engage in that business under a different name, provide that name:
SECTION 6.B.(3) Description of Other Products and Services
Describe other products or services you sell to your client. You may omit products and services that you listed in Section 6.B.(2) above.
If you engage in that business under a different name, provide that name:
Item 7 Financial Industry Affiliations
In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may
occur between you and your clients.
A. This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your
advisory affiliates and any person that is under common control with you.
You have a related person that is a (check all that apply):
(1) broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered)
(2) other investment adviser (including financial planners)
(3) registered municipal advisor
(4) registered security-based swap dealer
(5) major security-based swap participant
(6) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(7) futures commission merchant
(8) banking or thrift institution
(9) trust company
(10) accountant or accounting firm
(11) lawyer or law firm
(12) insurance company or agency
(13) pension consultant
(14) real estate broker or dealer
(15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(16) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Note that Item 7.A. should not be used to disclose that some of your employees perform investment advisory functions or are registered representatives of a
broker-dealer. The number of your firm's employees who perform investment advisory functions should be disclosed under Item 5.B.(1). The number of your
firm's employees who are registered representatives of a broker-dealer should be disclosed under Item 5.B.(2).
Note that if you are filing an umbrella registration, you should not check Item 7.A.(2) with respect to your relying advisers, and you do not have to complete
Section 7.A. in Schedule D for your relying advisers. You should complete a Schedule R for each relying adviser.
For each related person, including foreign affiliates that may not be registered or required to be registered in the United States, complete Section 7.A. of
Schedule D.
You do not need to complete Section 7.A. of Schedule D for any related person if: (1) you have no business dealings with the related person in connection with
advisory services you provide to your clients; (2) you do not conduct shared operations with the related person; (3) you do not refer clients or business to the
related person, and the related person does not refer prospective clients or business to you; (4) you do not share supervised persons or premises with the
related person; and (5) you have no reason to believe that your relationship with the related person otherwise creates a conflict of interest with your clients.
You must complete Section 7.A. of Schedule D for each related person acting as qualified custodian in connection with advisory services you provide to your
clients (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)), regardless of whether you have determined the related person to be
operationally independent under rule 206(4)-2 of the Advisers Act.
SECTION 7.A. Financial Industry Affiliations
Complete a separate Schedule D Section 7.A. for each related person listed in Item 7.A.
1. Legal Name of Related Person:
PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD.
2. Primary Business Name of Related Person:
PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Alberta Securities Commission
Canada - British Columbia Securities Commission
Canada - Manitoba Securities Commission
Canada - New Brunswick Securities Commission
Canada - Newfoundland and Labrador, Financial Services Regulation Division
Canada - Northwest Territories, Office of the Registrar of Securities
Canada - Nova Scotia Securities Commission
Canada - Nunavut, Registrar of Securities
Canada - Ontario Securities Commission
Canada - Prince Edward Island, Securities Office
Canada - Quebec, Financial Markets Authority
Canada - Saskatchewan Financial Services Commission
Canada - Yukon Territories, Registrar of Securities
Other - CANADIAN INVESTMENT REGULATORY ORGANIZATION
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
2. Primary Business Name of Related Person:
RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Quebec, Financial Markets Authority
Other - CANADA - ALBERTA INSURANCE COUNCIL
Other - CANADA - FINANCIAL SERVICES COMMISSION OF ONTARIO
Other - CANADA - GOVERNMENT OF NEWFOUNDLAND AND LABRADOR - DEPARTMENT OF GOVERNMENT SERVICES AND LANDS
Other - CANADA - INSURANCE COUNCIL OF BRITISH COLUMBIA
Other - CANADA - INSURANCE COUNCIL OF MANITOBA
Other - CANADA - INSURANCE COUNCIL OF SASKATCHEWAN
Other - CANADA - NEW BRUNSWICK SUPERINTENDENT OF INSURANCE
Other - CANADA - NORTHWEST TERRITORIES OFFICE OF THE SUPERINTENDENT OF INSURANCE
Other - CANADA - NOVA SCOTIA OFFICE OF THE SUPERINTENDENT OF INSURANCE
Other - CANADA - NUNAVUT SUPERINTENDENT OF INSURANCE
Other - CANADA - PRINCE EDWARD ISLAND OFFICE OF THE ATTORNEY GENERAL
Other - CANADA - YUKON SUPERINTENDENTOF INSURANCE
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
THE ROYAL TRUST COMPANY
2. Primary Business Name of Related Person:
ROYAL TRUST
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
155 WELLINGTON STREET WEST, 17TH FLOOR RBC CENTRE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5V 3K7
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Quebec, Financial Markets Authority
Other - CANADA - ALBERTA SUPERINTENDENT OF FINANCIAL INSTITUTIONS
Other - CANADA - BRITISH COLUMBIA FINAICAL INSTITUTIONS COMMISSION
Other - CANADA - CANADA DEPOSIT INSURANCE CORPORATION
Other - CANADA - FINANCIAL SERVICES COMMISSION OF ONTARIO
Other - CANADA - MANITOBA FINANCE
Other - CANADA - NEW BRUNSWICK DEPARTMENT OF JUSTICE, CONSUMER AFFAIRS BRANCH
Other - CANADA - NOVA SCOTIA MINISTER OF FINANCE, FINANCIAL INSTITUTIONS DIVISION
Other - CANADA - SASKATCHEWAN FINANCIAL SERVICES COMMISSION
Other - OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS, CANADA
Other - OTHER - CANADA - PRINCE EDWARD ISLAND DEPT. OF JUSTICE AND PUBLIC SAFETY
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC SECURITIES, INC.
2. Primary Business Name of Related Person:
RBC SECURITIES, INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 71181
or
Other
4. Related Person's
(a) CRD Number (if any):
103705
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
555 SOUTH FLOWER STREET
City: State: Country: ZIP+4/Postal Code:
LOS ANGELES California United States 90071
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
2. Primary Business Name of Related Person:
RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Alberta Securities Commission
Canada - British Columbia Securities Commission
Canada - Manitoba Securities Commission
Canada - New Brunswick Securities Commission
Canada - Newfoundland and Labrador, Financial Services Regulation Division
Canada - Northwest Territories, Office of the Registrar of Securities
Canada - Nova Scotia Securities Commission
Canada - Nunavut, Registrar of Securities
Canada - Ontario Securities Commission
Canada - Prince Edward Island, Securities Office
Canada - Quebec, Financial Markets Authority
Canada - Saskatchewan Financial Services Commission
Canada - Yukon Territories, Registrar of Securities
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.
2. Primary Business Name of Related Person:
RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 20303
or
Other
4. Related Person's
(a) CRD Number (if any):
107173
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
ROYAL BANK OF CANADA
2. Primary Business Name of Related Person:
ROYAL BANK OF CANADA
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
CIK Number
1000275
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Other - OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS, CANADA
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
ROYAL TRUST CORPORATION OF CANADA
2. Primary Business Name of Related Person:
ROYAL TRUST
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
155 WELLINGTON STREET WEST, 17TH FLOOR RBC CENTRE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5V 3K7
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Other - CANADA - ALBERTA SUPERINTENDENT OF FINANCIAL INSTITUTIONS
Other - CANADA - BRITISH COLUMBIA FINAICAL INSTITUTIONS COMMISSION
Other - CANADA - CANADA DEPOSIT INSURANCE CORPORATION
Other - CANADA - FINANCIAL SERVICES COMMISSION OF ONTARIO
Other - CANADA - MANITOBA FINANCE
Other - CANADA - NEW BRUNSWICK DEPARTMENT OF JUSTICE, CONSUMER AFFAIRS BRANCH
Other - CANADA - NOVA SCOTIA MINISTER OF FINANCE, FINANCIAL INSTITUTIONS DIVISION
Other - CANADA - NOVA SCOTIA MINISTER OF FINANCE, NOVA SCOTIA & MUNICIPAL RELATIONS
Other - CANADA - PRINCE EDWARD ISLAND DEPT. OF JUSTICE AND PUBLIC SAFETY
Other - CANADA - SASKATCHEWAN FINANCIAL SERVICES COMMISSION
Other - OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS, CANADA
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC DOMINION SECURITIES INC.
2. Primary Business Name of Related Person:
RBC DOMINION SECURITIES INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
155 WELLINGTON STREET WEST, 17TH FLOOR RBC CENTRE
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5V3K7
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Alberta Securities Commission
Canada - British Columbia Securities Commission
Canada - Manitoba Securities Commission
Canada - New Brunswick Securities Commission
Canada - Newfoundland and Labrador, Financial Services Regulation Division
Canada - Northwest Territories, Office of the Registrar of Securities
Canada - Nova Scotia Securities Commission
Canada - Nunavut, Registrar of Securities
Canada - Ontario Securities Commission
Canada - Prince Edward Island, Securities Office
Canada - Quebec, Financial Markets Authority
Canada - Saskatchewan Financial Services Commission
Canada - Yukon Territories, Registrar of Securities
Other - CANADIAN INVESTMENT REGULATORY ORGANIZATION
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED
2. Primary Business Name of Related Person:
RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 78436
or
Other
4. Related Person's
(a) CRD Number (if any):
168551
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
United Kingdom - Financial Conduct Authority
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC DOMINION SECURITIES GLOBAL LIMITED
2. Primary Business Name of Related Person:
RBC DOMINION SECURITIES GLOBAL LIMITED
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Bahamas - Securities Commission of the Bahamas
Cayman Islands - Cayman Islands Monetary Authority
Other - BARBADOS FINANCIAL SERVICES COMMISSION
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC GLOBAL ASSET MANAGEMENT INC.
2. Primary Business Name of Related Person:
RBC GLOBAL ASSET MANAGEMENT INC.
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Alberta Securities Commission
Canada - British Columbia Securities Commission
Canada - Manitoba Securities Commission
Canada - New Brunswick Securities Commission
Canada - Newfoundland and Labrador, Financial Services Regulation Division
Canada - Northwest Territories, Office of the Registrar of Securities
Canada - Nova Scotia Securities Commission
Canada - Nunavut, Registrar of Securities
Canada - Ontario Securities Commission
Canada - Prince Edward Island, Securities Office
Canada - Quebec, Financial Markets Authority
Canada - Saskatchewan Financial Services Commission
Canada - Yukon Territories, Registrar of Securities
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
1. Legal Name of Related Person:
RBC CAPITAL MARKETS, LLC
2. Primary Business Name of Related Person:
RBC CAPITAL MARKETS, LLC
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
801 - 13059
or
Other
4. Related Person's
(a) CRD Number (if any):
31194
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the
presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not
required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Canada - Alberta Securities Commission
Canada - British Columbia Securities Commission
Canada - Manitoba Securities Commission
Canada - New Brunswick Securities Commission
Canada - Newfoundland and Labrador, Financial Services Regulation Division
Canada - Northwest Territories, Office of the Registrar of Securities
Canada - Nova Scotia Securities Commission
Canada - Nunavut, Registrar of Securities
Canada - Ontario Securities Commission
Canada - Prince Edward Island, Securities Office
Canada - Quebec, Financial Markets Authority
Canada - Saskatchewan Financial Services Commission
Canada - Yukon Territories, Registrar of Securities
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
Item 7 Private Fund Reporting
Yes No
B. Are you an adviser to any private fund?
If "yes," then for each private fund that you advise, you must complete a Section 7.B.(1) of Schedule D, except in certain circumstances described in the next
sentence and in Instruction 6 of the Instructions to Part 1A. If you are registered or applying for registration with the SEC or reporting as an SEC exempt
reporting adviser, and another SEC-registered adviser or SEC exempt reporting adviser reports this information with respect to any such private fund in Section
7.B.(1) of Schedule D of its Form ADV (e.g., if you are a subadviser), do not complete Section 7.B.(1) of Schedule D with respect to that private fund. You must,
instead, complete Section 7.B.(2) of Schedule D.
In either case, if you seek to preserve the anonymity of a private fund client by maintaining its identity in your books and records in numerical or alphabetical
code, or similar designation, pursuant to rule 204-2(d), you may identify the private fund in Section 7.B.(1) or 7.B.(2) of Schedule D using the same code or
designation in place of the fund's name.
SECTION 7.B.(1) Private Fund Reporting
No Information Filed
SECTION 7.B.(2) Private Fund Reporting
No Information Filed
Item 8 Participation or Interest in Client Transactions
In this Item, we request information about your participation and interest in your clients' transactions. This information identifies additional areas in which
conflicts of interest may occur between you and your clients. Newly-formed advisers should base responses to these questions on the types of participation
and interest that you expect to engage in during the next year.
Like Item 7, Item 8 requires you to provide information about you and your related persons, including foreign affiliates.
Proprietary Interest in Client Transactions
A. Do you or any related person: Yes No
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)?
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary
(ownership) interest (other than those mentioned in Items 8.A.(1) or (2))?
Sales Interest in Client Transactions
B. Do you or any related person: Yes No
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory
client securities are sold to or bought from the brokerage customer (agency cross transactions)?
(2) recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for
which you or any related person serves as underwriter or general or managing partner?
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than
the receipt of sales commissions as a broker or registered representative of a broker-dealer)?
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the: Yes No
(1) securities to be bought or sold for a client's account?
(2) amount of securities to be bought or sold for a client's account?
(3) broker or dealer to be used for a purchase or sale of securities for a client's account?
(4) commission rates to be paid to a broker or dealer for a client's securities transactions?
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons?
E. Do you or any related person recommend brokers or dealers to clients?
F. If you answer "yes" to E. above, are any of the brokers or dealers related persons?
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party
("soft dollar benefits") in connection with client securities transactions?
(2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under
section 28(e) of the Securities Exchange Act of 1934?
H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals?
(2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for
the firm (cash or non-cash compensation in addition to the employee's regular salary)?
I. Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related
person) for client referrals?
In your response to Item 8.I., do not include the regular salary you pay to an employee.
In responding to Items 8.H. and 8.I., consider all cash and non-cash compensation that you or a related person gave to (in answering Item 8.H.) or received
from (in answering Item 8.I.) any person in exchange for client referrals, including any bonus that is based, at least in part, on the number or amount of client
referrals.
Item 9 Custody
In this Item, we ask you whether you or a related person has custody of client (other than clients that are investment companies registered under the
Investment Company Act of 1940) assets and about your custodial practices.
A. (1) Do you have custody of any advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
If you are registering or registered with the SEC, answer "No" to Item 9.A.(1)(a) and (b) if you have custody solely because (i) you deduct your advisory fees
directly from your clients' accounts, or (ii) a related person has custody of client assets in connection with advisory services you provide to clients, but you
have overcome the presumption that you are not operationally independent (pursuant to Advisers Act rule 206(4)-2(d)(5)) from the related person.
(2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which
you have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ (b)
If you are registering or registered with the SEC and you have custody solely because you deduct your advisory fees directly from your clients' accounts, do not
include the amount of those assets and the number of those clients in your response to Item 9.A.(2). If your related person has custody of client assets in
connection with advisory services you provide to clients, do not include the amount of those assets and number of those clients in your response to 9.A.(2).
Instead, include that information in your response to Item 9.B.(2).
B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
You are required to answer this item regardless of how you answered Item 9.A.(1)(a) or (b).
(2) If you checked "yes" to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which
your related persons have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ 7,883,573,594 (b) 5,967
C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following
that apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage.
(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements
are distributed to the investors in the pools.
(3) An independent public accountant conducts an annual surprise examination of client funds and securities.
(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons
are qualified custodians for client funds and securities.
If you checked Item 9.C.(2), C.(3) or C.(4), list in Section 9.C. of Schedule D the accountants that are engaged to perform the audit or examination or prepare
an internal control report. (If you checked Item 9.C.(2), you do not have to list auditor information in Section 9.C. of Schedule D if you already provided this
information with respect to the private funds you advise in Section 7.B.(1) of Schedule D).
D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients? Yes No
(1) you act as a qualified custodian
(2) your related person(s) act as qualified custodian(s)
If you checked "yes" to Item 9.D.(2), all related persons that act as qualified custodians (other than any mutual fund transfer agent pursuant to rule
206(4)-2(b)(1)) must be identified in Section 7.A. of Schedule D, regardless of whether you have determined the related person to be operationally independent
under rule 206(4)-2 of the Advisers Act.
E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last
fiscal year, provide the date (MM/YYYY) the examination commenced:
05/2025
F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act
as qualified custodians for your clients in connection with advisory services you provide to clients?
5
SECTION 9.C. Independent Public Accountant
You must complete the following information for each independent public accountant engaged to perform a surprise examination, perform an audit of a
pooled investment vehicle that you manage, or prepare an internal control report. You must complete a separate Schedule D Section 9.C. for each
independent public accountant.
(1) Name of the independent public accountant:
PRICEWATERHOUSECOOPERS LLP
(2) The location of the independent public accountant's office responsible for the services provided:
Number and Street 1: Number and Street 2:
18 YORK STREET, SUITE 2600 PWC TOWER
City: State: Country: ZIP+4/Postal Code:
TORONTO, ONTARIO Canada M5J 0B2
Yes No
(3) Is the independent public accountant registered with the Public Company Accounting Oversight Board?
If "yes," Public Company Accounting Oversight Board-Assigned Number:
231
(4) If "yes" to (3) above, is the independent public accountant subject to regular inspection by the Public Company Accounting Oversight Board in
accordance with its rules?
(5) The independent public accountant is engaged to:
A. audit a pooled investment vehicle
B. perform a surprise examination of clients' assets
C. prepare an internal control report
(6) Since your last annual updating amendment, did all of the reports prepared by the independent public accountant that audited the pooled investment
vehicle or that examined internal controls contain unqualified opinions?
Yes
No
Report Not Yet Received
If you check "Report Not Yet Received", you must promptly file an amendment to your Form ADV to update your response when the accountant's report is
available.
Item 10 Control Persons
In this Item, we ask you to identify every person that, directly or indirectly, controls you. If you are filing an umbrella registration, the information in Item 10
should be provided for the filing adviser only.
If you are submitting an initial application or report, you must complete Schedule A and Schedule B. Schedule A asks for information about your direct owners
and executive officers. Schedule B asks for information about your indirect owners. If this is an amendment and you are updating information you reported
on either Schedule A or Schedule B (or both) that you filed with your initial application or report, you must complete Schedule C.
Yes No
A. Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies?
If yes, complete Section 10.A. of Schedule D.
B. If any person named in Schedules A, B, or C or in Section 10.A. of Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities
Exchange Act of 1934, please complete Section 10.B. of Schedule D.
SECTION 10.A. Control Persons
No Information Filed
SECTION 10.B. Control Person Public Reporting Companies
B. If any person named in Schedules A, B, or C, or in Section 10.A. of Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities
Exchange Act of 1934, please provide the following information (you must complete a separate Schedule D Section 10.B. for each public reporting
company):
(1) Full legal name of the public reporting company: ROYAL BANK OF CANADA
(2) The public reporting company's CIK number (Central Index Key number that the SEC assigns to each reporting company): 1000275
Item 11 Disclosure Information
In this Item, we ask for information about your disciplinary history and the disciplinary history of all your advisory affiliates. We use this information to
determine whether to grant your application for registration, to decide whether to revoke your registration or to place limitations on your activities as an
investment adviser, and to identify potential problem areas to focus on during our on-site examinations. One event may result in "yes" answers to more than
one of the questions below. In accordance with General Instruction 5 to Form ADV, "you" and "your" include the filing adviser and all relying advisers under an
umbrella registration.
Your advisory affiliates are: (1) all of your current employees (other than employees performing only clerical, administrative, support or similar functions); (2) all
of your officers, partners, or directors (or any person performing similar functions); and (3) all persons directly or indirectly controlling you or controlled by you.
If you are a "separately identifiable department or division" (SID) of a bank, see the Glossary of Terms to determine who your advisory affiliates are.
If you are registered or registering with the SEC or if you are an exempt reporting adviser, you may limit your disclosure of any event listed in Item 11 to ten years
following the date of the event. If you are registered or registering with a state, you must respond to the questions as posed; you may, therefore, limit your
disclosure to ten years following the date of an event only in responding to Items 11.A.(1), 11.A.(2), 11.B.(1), 11.B.(2), 11.D.(4), and 11.H.(1)(a). For purposes of
calculating this ten-year period, the date of an event is the date the final order, judgment, or decree was entered, or the date any rights of appeal from preliminary
orders, judgments, or decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the questions in this Item 11.
Yes No
Do any of the events below involve you or any of your supervised persons?
For "yes" answers to the following questions, complete a Criminal Action DRP:
A. In the past ten years, have you or any advisory affiliate: Yes No
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?
(2) been charged with any felony?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.A.(2) to
charges that are currently pending.
B. In the past ten years, have you or any advisory affiliate:
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving:
investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury,
forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(2) been charged with a misdemeanor listed in Item 11.B.(1)?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.B.(2) to
charges that are currently pending.
For "yes" answers to the following questions, complete a Regulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: Yes No
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
(3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) entered an order against you or any advisory affiliate in connection with investment-related activity?
(5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?
D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:
(1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?
(2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
(3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business
denied, suspended, revoked, or restricted?
(4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?
(5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory
affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?
E. Has any self-regulatory organization or commodities exchange ever:
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule
violation" under a plan approved by the SEC)?
(3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied,
suspended, revoked, or restricted?
(4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you
or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?
F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or
suspended?
G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C.,
11.D., or 11.E.?
For "yes" answers to the following questions, complete a Civil Judicial Action DRP:
H. (1) Has any domestic or foreign court: Yes No
(a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?
(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?
(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by
a state or foreign financial regulatory authority?
(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H.(1)?
Item 12 Small Businesses
The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, we need to determine
whether you meet the definition of "small business" or "small organization" under rule 0-7.
Answer this Item 12 only if you are registered or registering with the SEC and you indicated in response to Item 5.F.(2)(c) that you have regulatory assets
under management of less than $25 million. You are not required to answer this Item 12 if you are filing for initial registration as a state adviser, amending a
current state registration, or switching from SEC to state registration.
For purposes of this Item 12 only:
Total Assets refers to the total assets of a firm, rather than the assets managed on behalf of clients. In determining your or another person's total
assets, you may use the total assets shown on a current balance sheet (but use total assets reported on a consolidated balance sheet with
subsidiaries included, if that amount is larger).
Control means the power to direct or cause the direction of the management or policies of a person, whether through ownership of securities, by
contract, or otherwise. Any person that directly or indirectly has the right to vote 25 percent or more of the voting securities, or is entitled to 25 percent
or more of the profits, of another person is presumed to control the other person.
Yes No
A. Did you have total assets of $5 million or more on the last day of your most recent fiscal year?
If "yes," you do not need to answer Items 12.B. and 12.C.
B. Do you:
(1) control another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV)
of $25 million or more on the last day of its most recent fiscal year?
(2) control another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal
year?
C. Are you:
(1) controlled by or under common control with another investment adviser that had regulatory assets under management (calculated in
response to Item 5.F.(2)(c) of Form ADV) of $25 million or more on the last day of its most recent fiscal year?
(2) controlled by or under common control with another person (other than a natural person) that had total assets of $5 million or more on the
last day of its most recent fiscal year?
Schedule A
Direct Owners and Executive Officers
1. Complete Schedule A only if you are submitting an initial application or report. Schedule A asks for information about your direct owners and executive
officers. Use Schedule C to amend this information.
2. Direct Owners and Executive Officers. List below the names of:
(a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer(Chief Compliance Officer is
required if you are registered or applying for registration and cannot be more than one individual), director, and any other individuals with similar
status or functions;
(b) if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a
public reporting company (a company subject to Section 12 or 15(d) of the Exchange Act);
Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a
class of your voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild,
grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-
law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to
purchase the security.
(c) if you are organized as a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or
have contributed, 5% or more of your capital;
(d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has
contributed, 5% or more of your capital, the trust and each trustee; and
(e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 5%
or more of your capital, and (ii) if managed by elected managers, all elected managers.
3. Do you have any indirect owners to be reported on Schedule B? Yes No
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or
"I" if the owner or executive officer is an individual.
5. Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or
member; and for shareholders or members, the class of securities owned (if more than one is issued).
6. Ownership codes are: NA - less than 5% B - 10% but less than 25% D - 50% but less than 75%
A - 5% but less than 10% C - 25% but less than 50% E - 75% or more
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does
not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are
control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last DE/FE/I Title or Status Date Title or Status Ownership Control PR CRD No. If None: S.S. No. and Date of
Name, First Name, Middle Name) Acquired MM/YYYY Code Person Birth, IRS Tax No. or Employer ID No.
ROYAL BANK HOLDING INC. FE IMMEDIATE 10/2002 E Y N
PARENT
AGNEW, DAVID, JOHN I DIRECTOR, CHAIR 05/2004 NA Y N 2575090
& CO-PRESIDENT
KARLSSON, ANNICA, ELISABETH I CHIEF 04/2007 NA Y N 5332905
COMPLIANCE
OFFICER
PARMAR, VIJAY, SINGH I DIRECTOR & CO- 09/2009 NA Y N 5720362
PRESIDENT
SCOTT, MICHAEL, PETER I DIRECTOR & VICE- 12/2009 NA Y N 4548112
PRESIDENT
HUQ, FAIZA, MARIUM I CHIEF FINANCIAL 07/2017 NA Y N 5130029
OFFICER
Tinker, Nadine I DIRECTOR 12/2024 NA Y N 8030992
Boulianne, Martin-pierre I CORPORATE 06/2025 NA N N 8163419
SECRETARY
Russo, Erica I ASSISTANT 06/2025 NA N N 8165053
CORPORATE
SECRETARY
Schedule B
Indirect Owners
1. Complete Schedule B only if you are submitting an initial application or report. Schedule B asks for information about your indirect owners; you must first
complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information.
2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below:
(a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct
the sale of, 25% or more of a class of a voting security of that corporation;
For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent,
grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence;
or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
(b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon
dissolution, or have contributed, 25% or more of the partnership's capital;
(c) in the case of an owner that is a trust, the trust and each trustee; and
(d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have
contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, all elected managers.
3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of
the Exchange Act) is reached, no further ownership information need be given.
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or
"I" if the owner is an individual.
5. Complete the Status column by entering the owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or
members, the class of securities owned (if more than one is issued).
6. Ownership codes are: C - 25% but less than 50% E - 75% or more
D - 50% but less than 75% F - Other (general partner, trustee, or elected manager)
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does
not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are
control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last DE/FE/I Entity in Which Status Date Status Ownership Control PR CRD No. If None: S.S. No. and Date
Name, First Name, Middle Name) Interest is Acquired Code Person of Birth, IRS Tax No. or Employer
Owned MM/YYYY ID No.
ROYAL BANK OF CANADA FE ROYAL BANK PARENT 04/1998 E Y Y
HOLDING INC. COMPANY
Schedule D - Miscellaneous
You may use the space below to explain a response to an Item or to provide any other information.
INFORMATION AND DATA PROVIDED ON THIS FORM ADV, INCLUDING INFORMATION/DATA UNDER ITEM 5 INFORMATION ABOUT YOUR ADVISORY BUSINESS, IS
AS AT FISCAL YEAR-END OCTOBER 31, 2024. SCHEDULE E ITEM 5K(1): EXCHANGE TRADED EQUITY SECURITIES INCLUDES NON-U.S. LISTED ETFs.
Schedule R
No Information Filed
DRP Pages
CRIMINAL DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an INITIAL AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
OR
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5)
11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5)
11.E(1) 11.E(2) 11.E(3) 11.E(4)
11.F. 11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your
advisory affiliates
One or more of your
advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
This advisory affiliate is a Firm an Individual
Number:
Registered:
Yes No
Name: ROYAL BANK OF CANADA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC Other Federal State Foreign
SRO
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
ONTARIO SECURITIES COMMISSION
2. Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3. Date Initiated (MM/DD/YYYY):
08/23/2019 Exact Explanation
If not exact, provide explanation:
4. Docket/Case Number:
5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type:
Other
Other Product Types:
FOREIGN EXCHANGE
7. Describe the allegations related to this regulatory action (your response must fit within the space provided):
FAILURE TO HAVE SUFFICIENT SUPERVISION AND CONTROLS IN ITS FX TRADING BUSINESS.
8. Current Status? Pending On Appeal Final
9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision & Order of Offer of Settlement
11. Resolution Date (MM/DD/YYYY):
08/30/2019 Exact Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 10,338,117.00
Revocation/Expulsion/Denial Disgorgement/Restitution
Censure Cease and Desist/Injunction
Bar Suspension
B. Other Sanctions Ordered:
INTERNAL AUDIT OF ROYAL BANK OF CANADA'S COMPLIANCE WITH THE FX GLOBAL CODE AND PAYMENT OF $608,263.00 IN COSTS TO COVER
THE INVESTIGATION.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
WITHOUT ADMITTING OR DENYING THE FINDINGS, ROYAL BANK OF CANADA CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF THE
FINDINGS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
WITHOUT ADMITTING OR DENYING THE FINDINGS, ROYAL BANK OF CANADA CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF THE FINDINGS.
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an INITIAL AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
OR
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5)
11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5)
11.E(1) 11.E(2) 11.E(3) 11.E(4)
11.F. 11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your
advisory affiliates
One or more of your
advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD 7690670
This advisory affiliate is a Firm an Individual
Number:
Registered:
Yes No
Name: FAIRCLOUGH (WOODS), NANCY
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC Other Federal State Foreign
SRO
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
2. Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3. Date Initiated (MM/DD/YYYY):
03/01/2022 Exact Explanation
If not exact, provide explanation:
4. Docket/Case Number:
5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
RBC DOMINION SECURITIES INC.
6. Principal Product Type:
No Product
Other Product Types:
7. Describe the allegations related to this regulatory action (your response must fit within the space provided):
MS. FAIRCLOUGH WAS ALLEGED TO HAVE CONTRAVENED THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) RULES, NAMELY
THAT, (1) SHE ACTED AS A POA FOR A CLIENT BETWEEN JANUARY 2019 AND JULY 2020 CONTRARY TO RULE 43.2(5)(I), AND (2) SHE ACCEPTED A
$50,000 GIFT FROM A CLIENT IN JANUARY 2019 CONTRARY TO RULE 43.2(1).
8. Current Status? Pending On Appeal Final
9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
07/18/2022 Exact Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 22,500.00
Revocation/Expulsion/Denial Disgorgement/Restitution
Censure Cease and Desist/Injunction
Bar Suspension
B. Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
AS PART OF THE SETTLEMENT, MS. FAIRCLOUGH AGREED TO PAY A SUM OF $22,500 BECAUSE SHE ACCEPTED IIROC STAFF'S EARLY RESOLUTION
OFFER. THE SUM PAID CONSISTS OF TWO PARTS: A FINE OF $17,500 AND COSTS OF $5,000.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
AS PART OF THE SETTLEMENT, MS. FAIRCLOUGH AGREED TO PAY A SUM OF $22,500 BECAUSE SHE ACCEPTED IIROC STAFF'S EARLY RESOLUTION
OFFER. THE SUM PAID CONSISTS OF TWO PARTS: A FINE OF $17,500 AND COSTS OF $5,000.
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an INITIAL AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
OR
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5)
11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5)
11.E(1) 11.E(2) 11.E(3) 11.E(4)
11.F. 11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your
advisory affiliates
One or more of your
advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
This advisory affiliate is a Firm an Individual
Number:
Registered:
Yes No
Name: ROYAL BANK OF CANADA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC Other Federal State Foreign
SRO
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
SECURITIES AND EXCHANGE COMMISSION
2. Principal Sanction:
Other
Other Sanctions:
IT WAS ORDERED THAT THE FIRM CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS
13(B)(2)(A) AND 13(B)(2)(B) OF THE EXCHANGE ACT.
3. Date Initiated (MM/DD/YYYY):
11/02/2023 Exact Explanation
If not exact, provide explanation:
4. Docket/Case Number:
ADMINISTRATIVE PROCEEDING FILE NO. 3-21792
5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
ROYAL BANK OF CANADA
6. Principal Product Type:
Other
Other Product Types:
IT WAS ORDERED THAT THE FIRM CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS
13(B)(2)(A) AND 13(B)(2)(B) OF THE EXCHANGE ACT.
7. Describe the allegations related to this regulatory action (your response must fit within the space provided):
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 ACCOUNTING
CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRANSACTIONS ARE RECORDED TO PERMIT PREPARATION OF FINANCIAL
STATEMENTS IN CONFORMITY WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES.
8. Current Status? Pending On Appeal Final
9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision & Order of Offer of Settlement
11. Resolution Date (MM/DD/YYYY):
11/02/2023 Exact Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 6,000,000.00
Revocation/Expulsion/Denial Disgorgement/Restitution
Censure Cease and Desist/Injunction
Bar Suspension
B. Other Sanctions Ordered:
IT WAS ORDERED THAT THE FIRM CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF
SECTIONS 13(B)(2)(A) AND 13(B)(2)(B) OF THE EXCHANGE ACT.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF THE ORDER INSTITUTING CEASE-AND-DESIST
PROCEEDINGS AND IMPOSING A CEASE-AND-DESIST ORDER
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF THE ORDER INSTITUTING CEASE-AND-DESIST
PROCEEDINGS AND IMPOSING A CEASE-AND-DESIST ORDER
CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
Part 2
Exemption from brochure delivery requirements for SEC-registered advisers
SEC rules exempt SEC-registered advisers from delivering a firm brochure to some kinds of clients. If these exemptions excuse you from delivering a
brochure to all of your advisory clients, you do not have to prepare a brochure.
Yes No
Are you exempt from delivering a brochure to all of your clients under these rules?
If no, complete the ADV Part 2 filing below.
Amend, retire or file new brochures:
Part 3
CRS Type(s) Affiliate Info Retire
Investment Advisor
Investment Advisor
Execution Pages
DOMESTIC INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to
the SEC and all amendments.
Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the Secretary of State or other legally designated officer, of the
state in which you maintain your principal office and place of business and any other state in which you are submitting a notice filing, as your agents to
receive service, and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand
for arbitration, or other process or papers, and you further agree that such service may be made by registered or certified mail, in any federal or state
action, administrative proceeding or arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding, or
arbitration (a) arises out of any activity in connection with your investment advisory business that is subject to the jurisdiction of the United States, and (b)
is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939,
the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of the state
in which you maintain your principal office and place of business or of any state in which you are submitting a notice filing.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The investment adviser and I both certify, under
penalty of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits and any other
information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having
custody or possession of these books and records to make them available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
Printed Name: Title:
Adviser CRD Number:
109648
NON-RESIDENT INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to
the SEC and all amendments.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint each of the Secretary of the SEC, and the Secretary of State or
other legally designated officer, of any other state in which you are submitting a notice filing, as your agents to receive service, and agree that such
persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for arbitration, or other process or
papers, and you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding or
arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any
activity in connection with your investment advisory business that is subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly,
upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of
1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of any state in which you are submitting a
notice filing.
2. Appointment and Consent: Effect on Partnerships
If you are organized as a partnership, this irrevocable power of attorney and consent to service of process will continue in effect if any partner withdraws
from or is admitted to the partnership, provided that the admission or withdrawal does not create a new partnership. If the partnership dissolves, this
irrevocable power of attorney and consent shall be in effect for any action brought against you or any of your former partners.
3. Non-Resident Investment Adviser Undertaking Regarding Books and Records
By signing this Form ADV, you also agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in
Washington D.C., at any Regional or District Office of the Commission, or at any one of its offices in the United States, as specified by the Commission,
correct, current, and complete copies of any or all records that you are required to maintain under Rule 204-2 under the Investment Advisers Act of 1940.
This undertaking shall be binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of
attorney or any of your general partners and managing agents.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the non-resident investment adviser. The investment adviser and I both
certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this ADV, including exhibits
and any other information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having
custody or possession of these books and records to make them available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
ANNICA KARLSSON 06/30/2026
Printed Name: Title:
ANNICA KARLSSON CHIEF COMPLIANCE OFFICER
Adviser CRD Number:
109648