0001752724-22-277156.txt : 20221209
0001752724-22-277156.hdr.sgml : 20221209
20221209151229
ACCESSION NUMBER: 0001752724-22-277156
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220930
FILED AS OF DATE: 20221209
DATE AS OF CHANGE: 20221209
EFFECTIVENESS DATE: 20221209
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CITY NATIONAL ROCHDALE FUNDS
CENTRAL INDEX KEY: 0001026977
IRS NUMBER: 911766001
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-07923
FILM NUMBER: 221454594
BUSINESS ADDRESS:
STREET 1: 400 NORTH ROXBURY DRIVE
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90210
BUSINESS PHONE: (800) 708-8881
MAIL ADDRESS:
STREET 1: 400 NORTH ROXBURY DRIVE
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90210
FORMER COMPANY:
FORMER CONFORMED NAME: City National Rochdale Funds
DATE OF NAME CHANGE: 20130910
FORMER COMPANY:
FORMER CONFORMED NAME: CNI CHARTER FUNDS
DATE OF NAME CHANGE: 19990503
FORMER COMPANY:
FORMER CONFORMED NAME: BERKELEY FUNDS TRUST
DATE OF NAME CHANGE: 19980319
0001026977
S000005828
CITY NATIONAL ROCHDALE HIGH YIELD BOND FUND
C000015987
CITY NATIONAL ROCHDALE HIGH YIELD BOND FUND - CLASS N
CHBAX
C000015988
CITY NATIONAL ROCHDALE HIGH YIELD BOND FUND - SERVICING
CHYIX
C000107179
CITY NATIONAL ROCHDALE HIGH YIELD BOND FUND - INSTITUTIONAL
CNIHX
0001026977
S000005833
CITY NATIONAL ROCHDALE GOVERNMENT MONEY MARKET FUND
C000015999
CITY NATIONAL ROCHDALE GOVERNMENT MONEY MARKET FUND - CLASS N
CNGXX
C000016000
CITY NATIONAL ROCHDALE GOVERNMENT MONEY MARKET FUND - SERVICING
CNIXX
C000016001
CITY NATIONAL ROCHDALE GOVERNMENT MONEY MARKET FUND - CLASS S
CNFXX
0001026977
S000005835
CITY NATIONAL ROCHDALE CALIFORNIA TAX - EXEMPT BOND FUND
C000016005
CITY NATIONAL ROCHDALE CALIFORNIA TAX - EXEMPT BOND FUND - CLASS N
CCTEX
C000016006
CITY NATIONAL ROCHDALE CALIFORNIA TAX - EXEMPT BOND FUND - SERVICING
CNTIX
0001026977
S000005836
CITY NATIONAL ROCHDALE CORPORATE BOND FUND
C000016007
CITY NATIONAL ROCHDALE CORPORATE BOND FUND - CLASS N
CCBAX
C000016008
CITY NATIONAL ROCHDALE CORPORATE BOND FUND - SERVICING
CNCIX
0001026977
S000005837
CITY NATIONAL ROCHDALE GOVERNMENT BOND FUND
C000016009
CITY NATIONAL ROCHDALE GOVERNMENT BOND FUND - CLASS N
CGBAX
C000016010
CITY NATIONAL ROCHDALE GOVERNMENT BOND FUND - SERVICING
CNBIX
C000107178
CITY NATIONAL ROCHDALE GOVERNMENT BOND FUND - INSTITUTIONAL
CNIGX
0001026977
S000039066
CITY NATIONAL ROCHDALE U.S. CORE EQUITY FUND
C000120109
CITY NATIONAL ROCHDALE U.S. CORE EQUITY FUND - CLASS N
CNRWX
C000120110
CITY NATIONAL ROCHDALE U.S. CORE EQUITY FUND - INSTITUTIONAL
CNRUX
C000120111
CITY NATIONAL ROCHDALE U.S. CORE EQUITY FUND - SERVICING
CNRVX
0001026977
S000039721
City National Rochdale Equity Income Fund
C000123067
Class N
RIMHX
C000237512
Servicing Class
CNRHX
0001026977
S000039723
City National Rochdale Fixed Income Opportunities Fund
C000123069
Class N
RIMOX
C000237513
Servicing Class
CNRZX
0001026977
S000039724
City National Rochdale Intermediate Fixed Income Fund
C000123070
Class N
RIMCX
C000133171
Institutional Class
CNRIX
C000237514
Servicing Class
CNRCX
0001026977
S000043469
City National Rochdale Municipal High Income Fund
C000134824
Class N
CNRNX
C000134825
Servicing Class
CNRMX
0001026977
S000063940
City National Rochdale Short Term Emerging Markets Debt Fund
C000206961
Class Y
CNRGX
N-CEN
1
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City National Rochdale Funds
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BEVERLY HILLS
90210
US-CA
US
8888890799
City National Rochdale, LLC
400 North Roxbury Dr
Beverly Hills
90210
310-888-6000
Records for Advisor of Trust
ALCENTRA LIMITED
160 Queen Victoria Street
London
GB
EC4V 4LA
44-20-7163-6000
Records as Sub-Advisor to Trust
SEI Investments Global Funds Services
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Administrator for Trust
GML CAPITAL LLP
The Met Building
22 Percy Street
London
GB
W1T 2BU
44-20-7580-8588
Records as Sub-Advisor to Trust
SEIX INVESTMENT ADVISORS
One Maynard Drive
Suite 3200
Park Ridge
07656
201-391-0300
Records as Sub-Advisor to Trust
U.S. Bank Global Fund Services
615 East Michigan Street
Milwaukee
53202
800-300-3863
Records as Custodian and Transfer Agent for Trust
Ashmore Investment Management Limited
61 Aldwych
5th Floor
London
GB
WC2B 4AE
44-20-3077-6000
Records as Sub-Advisor to Trust
Alcentra NY, LLC
200 Park Ave
New York
10166
212-922-8240
Records as Sub-Advisor to Trust
Federated Investment Management Company
1001 Liberty Avenue
Pittsburgh
15222-3779
412-288-1900
Records as Sub-Advisor to Trust
AllFinancial Partners II, LLC
4800 N Federal Hwy
Boca Raton
33431
561-430-5317
Records as Sub-Advisor to Trust
T. ROWE PRICE ASSOCIATES, INC
100 East Pratt Street
Baltimore
21202
1-888-358-8490
Records as Sub-Advisor to Trust
N
N
N-1A
9
Y
Andrew S. Clare
N/A
Y
Jay C. Nadel
N/A
N
Jon C. Hunt
N/A
N
Daniel A. Hanwacker
N/A
N
James R. Wolford
N/A
N
Julie C. Miller
N/A
N
Rochelle Levy
N/A
400 Park Avenue
New York
10022
XXXXXX
Y
N
N
N
N
N
SEI INVESTMENTS DISTRIBUTION COMPANY
008-27897
000010690
N/A
N
N
BRIGGS, BUNTING, & DOUGHERTY LLP
552
N/A
N
N
N
N
N
N
N
CITY NATIONAL ROCHDALE GOVERNMENT BOND FUND
S000005837
549300FYGSV93MB0M935
N
2
0
0
N/A
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
City National Rochdale, LLC
801-60150
000111759
N/A
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
S&P
549300U4VWNITEKO2881
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
CORMARK SECURITIES
549300SUH8XF18ZB7M51
CA
N
N
ARBOR TRADING GROUP
ZXV72XFMG8HDWWYVKP59
N
N
U.S. Bank Global Fund Services
85-11357
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
CREDIT SUISSE - FIRST BOSTON
1V8Y6QCX6YMJ2OELII46
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
NOMURA SECURITIES INTERNATIONAL, INC.
OXTKY6Q8X53C9ILVV871
N
N
BB&T CAPITAL MARKETS
N/A
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
INTL FC STONE (FORMERLY G.X. CLARKE)
549300JUF07L8VF02M60
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
CNR Securities, LLC
8-36759
000018466
N/A
0.00
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
0.00000000
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
3399849.62000000
NOMURA
008-15255
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OXTKY6Q8X53C9ILVV871
30582.42000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
2625162.96999999
BONY/TORONTO DOMINION SECURITIES INC.
008-36747
000018476
SUVUFHICNZMP2WKHG940
358806.00000000
JP MORGAN
008-35008
000000079
ZBUT11V806EZRVTWT807
2736376.96000000
WELLS FARGO
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VYVVCKR63DVZZN70PB21
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CHASE SECURITIES, INC.
008-35008
000000079
ZBUT11V806EZRVTWT807
2932755.09000000
HEARTLAND ADVISORS, INC.
8-44310
000029433
549300TUL0268YE0PK56
1070310.00000000
PIPER JAFFRAY
008-15204
000000665
549300GRQCWQ3XGH0H10
605760.00000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
1133996.09000000
16390565.85000000
N
24343341.32508196
Committed
400000000.00000000
N
N
N
N
CITY NATIONAL ROCHDALE CORPORATE BOND FUND
S000005836
549300T01QLWU7UQ5455
N
2
0
0
N/A
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
City National Rochdale, LLC
801-27265
000117198
549300EOOYRQIBYP3C02
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Bloomberg
254900BF4G8VMW8GG471
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
MIZUHO SECURITIES
7TK5RJIZDFROZCA6XF66
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
U.S. Bank Global Fund Services
85-11357
N
N
J.P. MORGAN SECURITIES
ZBUT11V806EZRVTWT807
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
CNR Securities, LLC
8-36759
000018466
N/A
0.00
0.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
3508588.59000000
BAML
008-69787
000283942
549300HN4UKV1E2R3U73
8464105.00000000
MIZUHO SECURITIES USA INC
008-37710
000019647
7TK5RJIZDFROZCA6XF66
3004254.00000000
AMHERST SECURITIES GROUP INC.
8-45364
000031141
GR1JCST0OG1YC8O1XP88
2462950.00000000
US BANK
008-35359
000017868
H85Z6XZP8B10ES0M2G89
2631846.93000000
JP MORGAN - OLD BEAR STEARNS
008-35008
000000079
ZBUT11V806EZRVTWT807
3023100.00000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
2699554.00000000
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
10746723.75000000
MITSUBISHI SEC
008-43026
000019685
K5HU16E3LMSVCCJJJ255
2771184.00000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
6000000.00000000
52660263.53000000
N
24343341.32508196
Committed
400000000.00000000
N
N
N
N
CITY NATIONAL ROCHDALE GOVERNMENT MONEY MARKET FUND
S000005833
549300ODC9DFYFPHOT65
N
3
0
0
Money Market Fund
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
City National Rochdale, LLC
801-60150
000111759
N/A
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Bloomberg
254900BF4G8VMW8GG471
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
STERNE, AGEE & LEACH, INC.
549300B0SBRC3H0BII50
N
N
DAIWA SECURITIES AMERICA, INC.
N/A
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
CHASE SECURITIES, INC.
ZBUT11V806EZRVTWT807
N
N
MIZUHO SECURITIES
7TK5RJIZDFROZCA6XF66
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
U.S. Bank Global Fund Services
85-11357
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
INTL FC STONE (FORMERLY G.X. CLARKE)
549300JUF07L8VF02M60
N
N
WELLS FARGO BROKERAGE SERVICES, LLC
VYVVCKR63DVZZN70PB21
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
CNR Securities, LLC
8-36759
000018466
N/A
0.00
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
0.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
874712367.77999997
BONY/TORONTO DOMINION SECURITIES INC.
008-36747
000018476
SUVUFHICNZMP2WKHG940
956171073.98999989
DAIWA SECURITIES AMERICA, INC.
008-12242
000001576
M67H5PRC0NQKM73ZAS82
2292882149.06999970
NORTHERN CAPITAL ADVISORS
008-49130
000040659
254900ZANH7XTB94LS53
786853529.39999998
NOMURA
008-15255
000004297
OXTKY6Q8X53C9ILVV871
1969013223.30999990
MIZUHO SECURITIES USA INC
008-37710
000019647
7TK5RJIZDFROZCA6XF66
2170108546.59999990
CHASE SECURITIES, INC.
008-35008
000000079
ZBUT11V806EZRVTWT807
2814494589.81000040
BARCLAYS CAPITAL INC. FIXED INCOME
008-41342
000019714
AC28XWWI3WIBK2824319
2350755126.80000020
WACHOVIA SECURITIES, INC.
008-65876
000126292
VYVVCKR63DVZZN70PB21
1484302729.81999970
IFCS
008-51269
000045993
549300LNKU6K5TJCRG93
1529054578.52000000
18730839757.02000000
N
5030548507.92000010
N
N
N
CITY NATIONAL ROCHDALE EQUITY INCOME FUND
S000039721
549300V00F5T6OPUKU87
N
1
0
0
N/A
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
Y
Y
City National Rochdale, LLC
801-27265
000117198
549300EOOYRQIBYP3C02
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
S&P
549300U4VWNITEKO2881
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg
254900BF4G8VMW8GG471
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
BANK OF AMERICA
549300HN4UKV1E2R3U73
N
N
U.S. Bank Global Fund Services
85-11357
N
N
WELLS FARGO SECURITIES
VYVVCKR63DVZZN70PB21
N
N
PRECISION SECURITIES LLC
635400GBP4QTL7NATT68
N
N
WELLS FARGO BROKERAGE SERVICES, LLC
VYVVCKR63DVZZN70PB21
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
CNR Securities, LLC
8-36759
000018466
N/A
0.00
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
97696
97696.00
0.00000000
N
237325302.71
Committed
400000000.00000000
N
N
N
CITY NATIONAL ROCHDALE CALIFORNIA TAX EXEMPT BOND FUND
S000005835
5493006JDQW8REHGMD29
N
2
0
0
N/A
Y
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 10f-3 (17 CFR 270.10f-3)
Y
Y
Y
N
City National Rochdale, LLC
801-60150
000111759
N/A
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
S&P
549300U4VWNITEKO2881
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
COWEN GROUP
5493008QI0EFC5WBED75
N
N
GOLDMAN, SACHS & CO.
FOR8UP27PHTHYVLBNG30
N
N
BLOOMBERG TRADEBOOK LLC
549300P0PVQNO43T7K36
N
N
DEUTSCHE BANK SECURITIES, INC.
9J6MBOOO7BECTDTUZW19
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
SUNTRUST
N/A
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
ALAMO CAPITAL
254900PX6PJH5Z19A906
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
UBS SECURITIES LLC
T6FIZBDPKLYJKFCRVK44
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
USBANK
H85Z6XZP8B10ES0M2G89
N
N
STIFEL NICOLAUS & CO., INC.
5WUVMA08EYG4KEUPW589
N
N
U.S. Bank Global Fund Services
85-11357
N
N
RAYMOND JAMES
549300Q3FSJ44RJLP108
N
N
JONES TRADING
2138008JJ5PA8H5UIL69
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
CNR Securities, LLC
8-36759
000018466
N/A
0.00
0.00000000
BARCLAYS CAPITAL INC. FIXED INCOME
008-41342
000019714
AC28XWWI3WIBK2824319
5200000.00000000
SEAPORT SECURITIES CORPORATION
8-24971
000008330
N/A
2136672.40000000
PIPER JAFFRAY
008-15204
000000665
549300GRQCWQ3XGH0H10
2505268.25000000
WELLS FARGO
008-65876
000126292
VYVVCKR63DVZZN70PB21
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BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
11643461.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
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RAMIREZ, SAMUEL A. AND COMPANY
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000006963
254900CBKVW7O2ENQA21
2032291.00000000
J.P. MORGAN SECURITIES
008-35008
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ZBUT11V806EZRVTWT807
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STIFEL NICOLAUS & CO., INC.
008-01447
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5WUVMA08EYG4KEUPW589
3749502.35000000
WEDBUSH MORGAN SECURITIES, INC.
8-12987
000000877
549300CSX55MXZ47EI78
2695980.90000000
79726184.60000000
N
66031929.60581967
Committed
400000000.00000000
N
N
N
N
CITY NATIONAL ROCHDALE INTERMEDIATE FIXED INCOME FUND
S000039724
549300UGJ6X6Q0P5WR53
N
2
0
0
N/A
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
City National Rochdale, LLC
801-60150
000111759
N/A
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
S&P
549300U4VWNITEKO2881
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
MILLENNIUM ADVISORS
254900E1P6Z2XZYSA163
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
BARCLAY BANK PLC
AC28XWWI3WIBK2824319
N
N
U.S. Bank
H85Z6XZP8B10ES0M2G89
N
N
BANK OF AMERICA
549300HN4UKV1E2R3U73
N
N
U.S. Bank Global Fund Services
85-11357
N
N
DAIWA SECURITIES AMERICA, INC.
N/A
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
CNR Securities, LLC
8-36759
000018466
N/A
0.00
0.00000000
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
1040730.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
5542822.36000000
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
4362159.89000000
MIZUHO SECURITIES
008-37710
000019647
7TK5RJIZDFROZCA6XF66
1946093.75000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
3744374.84000000
CHASE SECURITIES, INC.
008-35008
000000079
ZBUT11V806EZRVTWT807
3089956.07000000
BANK OF NEW YORK
008-35303
000017481
N/A
2514575.00000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
6751263.76999999
TD SECURITIES (USA) LLC
008-36747
000018476
SUVUFHICNZMP2WKHG940
1099964.80000000
34591068.25000000
N
80688252.33193989
Committed
400000000
N
N
N
N
CITY NATIONAL ROCHDALE MUNICIPAL HIGH INCOME FUND
S000043469
549300TQO52D8X5ZM377
N
2
0
0
N/A
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
City National Rochdale, LLC
801-60150
000111759
N/A
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
DAVIDSON D.A., & COMPANY INC.
549300094RQ5A7DYLF51
N
N
B.C. ZIEGLER & CO.
N/A
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
MESIROW FINANCIAL INC
549300BIV46SUHPOFE54
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
U.S. Bank Global Fund Services
85-11357
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
PIPER JAFFRAY
549300GRQCWQ3XGH0H10
N
N
JEFFERIES LLC
58PU97L1C0WSRCWADL48
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
CNR Securities, LLC
8-36759
000018466
N/A
0.00
U.S. BANK
008-35359
000017868
H85Z6XZP8B10ES0M2G89
6362.48000000
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
12662.00000000
19024.96000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
127996639.70000000
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
111601862.45000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
129346439.80000000
J.P. MORGAN SECURITIES
008-35008
000000079
ZBUT11V806EZRVTWT807
147356836.30000001
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
322071492.75000006
HILLTOP SECURITIES INC
8-45123
000006220
549300IXU82PMU6XZT45
129377512.94999999
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
253207415.40000001
B.C. ZIEGLER & CO.
8-00094
000000061
N/A
162326230.50000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
365712795.13000000
CHASE SECURITIES, INC.
008-35008
000000079
ZBUT11V806EZRVTWT807
213895000.00000000
2523720247.69999980
N
1869271800.21939870
Committed
400000000.00000000
N
N
N
N
CITY NATIONAL ROCHDALE FIXED INCOME OPPORTUNITIES FUND
S000039723
549300OYV3O0YZ7U4D17
N
1
0
0
N/A
N
N
N
N/A
0.00000000
0.00000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
Y
City National Rochdale, LLC
801-60150
000111759
N/A
N
AllFinancial Partners II, LLC
801-79231
000170142
N/A
N
N
Alcentra NY, LLC
801-62417
000128557
5493006C55WUHGKZX458
N
N
ASHMORE INVESTMENTS
801-79169
000170303
549300WDXXY180HK8248
N
GB
N
SEIX INVESTMENT ADVISORS
801-68743
000146029
549300L7I4W19C7JV575
N
N
FEDERATED INVESTMENT MANAGEMENT COMPANY
801-34612
000105138
549300SP92SGS5AXSV67
N
N
ALCENTRA LIMITED
801-74223
000160617
213800NWZWYYTIEXU364
N
GB
N
T. ROWE PRICE ASSOCIATES, INC.
801-856
000105496
7HTL8AEQSEDX602FBU63
N
GML CAPITAL LLP
801-68918
000146411
2138003OH3SXO9J3ME75
GB
2021-12-08
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
S&P
549300U4VWNITEKO2881
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
NOMURA SECURITIES
OXTKY6Q8X53C9ILVV871
N
N
CANTOR FITZGERALD & CO.
5493004J7H4GCPG6OB62
N
N
MINT LONDON
ZWNFQ48RUL8VJZ2AIC12
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
JEFFERIES LLC
58PU97L1C0WSRCWADL48
N
N
U.S. Bank Global Fund Services
85-11357
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
BANCO SANTANDER
549300FT36TF8GQFTL08
N
N
NOMURA
OXTKY6Q8X53C9ILVV871
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
CREDIT SUISSE - FIRST BOSTON
1V8Y6QCX6YMJ2OELII46
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
UBS FINANCIAL SERVICES INC
ETYRV6ORNFJB5NONI676
N
N
Merrill Lynch
8NAV47T0Y26Q87Y0QP81
N
N
J.P. MORGAN SECURITIES
5493007C5MW3TG916H27
N
N
NOMURA
OXTKY6Q8X53C9ILVV871
N
N
DEUTSCHE BANK SECURITIES, INC.
9J6MBOOO7BECTDTUZW19
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
CNR Securities, LLC
8-36759
000018466
N/A
0.00
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
161.66000000
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
81217.67999999
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
266.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
1085.00000000
STIFEL NICOLAUS & CO., INC.
008-01447
000000793
5WUVMA08EYG4KEUPW589
53.20000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
289.80000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
329.00000000
83431.51999999
JP MORGAN
008-35008
000000079
ZBUT11V806EZRVTWT807
289999598.33999991
CREDIT SUISSE - FIRST BOSTON
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
268969205.80000001
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
417188614.14000005
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
355828083.81999999
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
309922664.16000003
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
354552984.03000003
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
370325279.49000001
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
334753832.53000003
7104989490.00000000
N
3886448969.30387970
Committed
400000000.00000000
N
N
N
CITY NATIONAL ROCHDALE U.S. CORE EQUITY FUND
S000039066
549300IX2L60NZ3OPJ65
N
3
0
0
N/A
N
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
City National Rochdale, LLC
801-60150
000111759
N/A
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
S&P
549300U4VWNITEKO2881
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
US BANK, N.A.
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
INSTINET
549300MGMN3RKMU8FT57
N
N
U.S. Bank Global Fund Services
85-11357
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0.00
CNR Securities, LLC
8-36759
000018466
N/A
0.00
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
92011.72000000
92011.72000000
WEDBUSH MORGAN SECURITIES, INC.
8-12987
000000877
549300CSX55MXZ47EI78
1860182.40000000
NATIONAL FINANCIAL SERVICES CORPORATION
008-26740
000013041
549300JRHF1MHHWUAW04
1800000.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
1558247.70000000
SIEBERT BRANDFORD SHANK & CO.
8-49877
000042568
N/A
1303480.00000000
STIFEL NICOLAUS & CO., INC.
008-01447
000000793
5WUVMA08EYG4KEUPW589
1450757.23
HILLTOP SECURITIES INC
8-45123
000006220
549300IXU82PMU6XZT45
1318584.00000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
10200000.00000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
975703.00000000
RAYMOND JAMES & ASSOCIATES, INC.
008-10999
000000705
U4ONQX15J3RO8XCKE979
1125740.00000000
SEAPORT SECURITIES CORPORATION
8-24971
000008330
N/A
1018530.00000000
26164261.19999999
Y
400111674.70540982
Committed
400000000.00000000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
CNR_ICL.txt
INTERNAL CONTROL LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
To the Shareholders and the Board of Trustees
of City National Rochdale Funds
In planning and performing our audits of the
financial statements of City National Rochdale
Government Money Market Fund, City National Rochdale
Government Bond Fund, City National Rochdale
Corporate Bond Fund, City National Rochdale
California Tax Exempt Bond Fund, City National
Rochdale Municipal High Income Fund, City National
Rochdale Intermediate Fixed Income Fund, City
National Rochdale Fixed Income Opportunities Fund
(consolidated), City National Rochdale Equity Income
Fund (formerly City National Rochdale Dividend &
Income Fund) and City National Rochdale U.S. Core
Equity Fund, each a series of shares of beneficial
interest in City National Rochdale Funds (the
Funds), as of September 30, 2022, and for the year
then ended, in accordance with the standards of the
Public Company Accounting Oversight Board (United
States) (PCAOB), we considered the Funds internal
control over financial reporting, including controls
over safeguarding securities, as a basis for
designing our auditing procedures for the purpose of
expressing our opinion on the financial statements
and to comply with the requirements of Form N-CEN,
but not for the purpose of expressing an opinion on
the effectiveness of the Funds internal control over
financial reporting. Accordingly, we express no
such opinion.
The management of the Funds is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling
this responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A funds
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with accounting principles
generally accepted in the United States of America
(GAAP). A funds internal control over financial
reporting includes those policies and procedures
that (1) pertain to the maintenance of records that,
in reasonable detail, accurately and fairly reflect
the transactions and dispositions of the assets of
the fund; (2) provide reasonable assurance that
transactions are recorded as necessary to permit
preparation of the financial statements in
accordance with GAAP, and that receipts and
expenditures of the fund are being made only in
accordance with authorizations of management and
trustees of the fund; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
funds assets that could have a material effect on
the financial statements.
Because of inherent limitations, internal control
over financial reporting may not prevent or detect
misstatements. Also, projections of any evaluation
of effectiveness to future periods are subject to
the risk that controls may become inadequate because
of changes in conditions or that the degree of
compliance with the policies or procedures may
deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the Funds annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Funds internal control over
financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control that might be material weaknesses under
standards established by the PCAOB. However, we
noted no deficiencies in the Funds internal control
over financial reporting and its operation,
including controls over safeguarding securities,
that we consider to be a material weakness, as
defined above, as of September 30, 2022.
This report is intended solely for the information
and use of management and the Board of Trustees of
City National Rochdale Funds and the Securities and
Exchange Commission and is not intended to be and
should not be used by anyone other than these
specified parties.
BBD, LLP
Philadelphia, Pennsylvania
November 29, 2022