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Investment Adviser Firm Summary

CITY NATIONAL ROCHDALE, LLC (CRD# 117198 / SEC# 801-27265)
Alternate Names: CITY NATIONAL ROCHDALE , CITY NATIONAL ROCHDALE, LLC , ROCHDALE INVESTMENT MANAGEMENT , ROCHDALE INVESTMENT MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/20/1986

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/20/1986
Alaska 11/25/2005
Arizona 01/30/2001
Arkansas 11/23/2005
California 07/08/1997
Colorado 08/12/2002
Connecticut 11/09/2001
Delaware 05/29/2003
District of Columbia 11/17/2001
Florida 01/04/2002
Georgia 06/21/1991
Hawaii 01/30/2001
Idaho 08/12/2002
Illinois 11/14/2001
Indiana 06/20/1986
Iowa 02/12/2001
Kansas 08/12/2002
Kentucky 08/12/2002
Louisiana 01/28/2002
Maine 11/21/2005
Maryland 09/09/1991
Massachusetts 04/14/1994
Michigan 12/26/2001
Minnesota 11/28/2001
Mississippi 08/12/2002
Missouri 07/14/1993
Montana 08/12/2002
Nebraska 09/19/1997
Nevada 06/20/1986
New Hampshire 04/02/1998
New Jersey 12/26/2001
New Mexico 08/12/2002
New York 10/15/1986
North Carolina 06/20/1986
North Dakota 11/21/2005
Ohio 02/01/2001
Oklahoma 11/21/2005
Oregon 06/10/2002
Pennsylvania 06/20/1986
Puerto Rico 03/28/2012
Rhode Island 06/20/1986
South Carolina 06/20/1986
South Dakota 11/16/2001
Tennessee 01/31/2002
Texas 11/14/2001
Utah 11/21/2005
Vermont 06/01/1995
Virgin Islands 03/18/2016
Virginia 11/17/1988
Washington 06/20/1986
West Virginia 11/21/2005
Wisconsin 03/02/1993
Wyoming 09/28/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser