Tricia Filter, financial advisor Irvine CA

Tricia Filter

CRD Number: 5754521
Current Firm: City National Rochdale

Tricia Filter (CRD# 5754521) is an Investment Advisor Representative working at City National Rochdale in Irvine, CA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
City National Rochdale Irvine, CA Sep 2018 - Current 4
Northern Trust Corporation Newport Beach, CA Dec 2017 - Jul 2018 < 1
Pnc Capital Advisors Philadelphia, PA Apr 2011 - Oct 2017 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2020
S65 NASAA Investment Advisors Law Examination Oct 2019
Contact Info for Tricia V. Filter
Phone Number: 212-702-3500
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    58,030
    MILLIONS
  • Total Number of Accounts
    39,176
    ACCOUNTS
  • Average Account Value
    $1,481,264
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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