0001752724-23-279615.txt : 20231214
0001752724-23-279615.hdr.sgml : 20231214
20231214172946
ACCESSION NUMBER: 0001752724-23-279615
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230930
FILED AS OF DATE: 20231214
DATE AS OF CHANGE: 20231214
EFFECTIVENESS DATE: 20231214
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: 231488077
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
primary_doc.xml
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LIVE
0001026977
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true
City National Rochdale Funds
811-07923
0001026977
549300QMC7FYNN5LU818
400 North Roxbury Drive
BEVERLY HILLS
90210
US-CA
US
(800)-445-1341
ALCENTRA LIMITED
160 Queen Victoria Street
London
GB
EC4V 4LA
44-20-7163-6000
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
GML CAPITAL LLP
The Met Building
22 Percy Street
London
GB
W1T 2BU
44-20-7580-8588
Records as Sub-Advisor to Trust
Ashmore Investment Management Limited
61 Aldwych
5th Floor
London
GB
WC2B 4AE
44-20-3077-6000
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
SEIX INVESTMENT ADVISORS
One Maynard Drive
Suite 3200
Park Ridge
07656
201-391-0300
Records as Sub-Advisor to Trust
Alcentra NY, LLC
200 Park Ave
New York
10166
212-922-8240
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
City National Rochdale, LLC
400 North Roxbury Dr
Beverly Hills
90210
310-888-6000
Records for Advisor of Trust
N
N
N-1A
9
Y
Jay C. Nadel
N/A
N
Daniel A. Hanwacker
N/A
N
Jon C. Hunt
N/A
N
Julie C. Miller
N/A
N
James R. Wolford
N/A
N
Shelley Y. Simms
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
Cohen & Company, Ltd.
925
N/A
N
N
N
N
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 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-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
Bloomberg
254900BF4G8VMW8GG471
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
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
U.S. Bank Global Fund Services
85-11357
N
N
PRECISION SECURITIES LLC
635400GBP4QTL7NATT68
N
N
WELLS FARGO BROKERAGE SERVICES, LLC
VYVVCKR63DVZZN70PB21
N
N
WELLS FARGO SECURITIES
VYVVCKR63DVZZN70PB21
N
N
BANK OF AMERICA
549300HN4UKV1E2R3U73
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
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
INSTINET CLEARING SERVICES, INC.
008-23669
000007897
549300MGMN3RKMU8FT57
149228.22000000
USBANK
008-35359
000017868
H85Z6XZP8B10ES0M2G89
320.52999999
149548.75000000
0.00000000
N
202711747.21000001
Committed
400000000.00000000
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
0
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-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
Bloomberg
254900BF4G8VMW8GG471
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
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
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
CORMARK SECURITIES
549300SUH8XF18ZB7M51
CA
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
NOMURA SECURITIES INTERNATIONAL, INC.
OXTKY6Q8X53C9ILVV871
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
BB&T CAPITAL MARKETS
N/A
N
N
ARBOR TRADING GROUP
ZXV72XFMG8HDWWYVKP59
N
N
CREDIT SUISSE - FIRST BOSTON
1V8Y6QCX6YMJ2OELII46
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
INTL FC STONE (FORMERLY G.X. CLARKE)
549300JUF07L8VF02M60
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
CNR Securities, LLC
8-36759
000018466
N/A
0
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
0
0
N
0
Committed
400000000.00000000
N
N
N
CITY NATIONAL ROCHDALE CORPORATE BOND FUND
S000005836
549300T01QLWU7UQ5455
N
2
0
0
N/A
N
N
N
N
N/A
0
0
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 18f-4 (17 CFR 270.18f-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
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
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
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
U.S. Bank Global Fund Services
85-11357
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
J.P. MORGAN SECURITIES
ZBUT11V806EZRVTWT807
N
N
MIZUHO SECURITIES
7TK5RJIZDFROZCA6XF66
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
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
0
0
N
0
Committed
400000000.00000000
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 18f-4 (17 CFR 270.18f-4)
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
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
IHS Markit
549300HLPTRASHS0E726
GB
N
S&P
549300U4VWNITEKO2881
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
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
U.S. Bank Global Fund Services
85-11357
N
N
STERNE, AGEE & LEACH, INC.
549300B0SBRC3H0BII50
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
DAIWA SECURITIES AMERICA, INC.
N/A
N
N
WELLS FARGO BROKERAGE SERVICES, LLC
VYVVCKR63DVZZN70PB21
N
N
INTL FC STONE (FORMERLY G.X. CLARKE)
549300JUF07L8VF02M60
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
MIZUHO SECURITIES
7TK5RJIZDFROZCA6XF66
N
N
CHASE SECURITIES, INC.
ZBUT11V806EZRVTWT807
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
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
0.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
2461812644.61000010
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
2677877027.48999980
WACHOVIA SECURITIES, INC.
008-65876
000126292
VYVVCKR63DVZZN70PB21
4072378941.06999970
BONY/TORONTO DOMINION SECURITIES INC.
008-36747
000018476
SUVUFHICNZMP2WKHG940
2191094822.41000030
DAIWA SECURITIES AMERICA, INC.
008-12242
000001576
M67H5PRC0NQKM73ZAS82
3369568786.96999980
NOMURA
008-15255
000004297
OXTKY6Q8X53C9ILVV871
3960107675.65999940
BARCLAYS CAPITAL INC. FIXED INCOME
008-41342
000019714
AC28XWWI3WIBK2824319
9234040259.34000020
CHASE SECURITIES, INC.
008-35008
000000079
ZBUT11V806EZRVTWT807
4542288233.69999980
BANK OF AMERICA
008-69787
000283942
549300HN4UKV1E2R3U73
2733000000.00000000
MIZUHO SECURITIES USA INC
008-37710
000019647
7TK5RJIZDFROZCA6XF66
2865418576.43000080
49476594803.23001100
N
6151123116.15303230
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 18f-4 (17 CFR 270.18f-4)
Rule 10f-3 (17 CFR 270.10f-3)
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(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
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
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
RAYMOND JAMES
549300Q3FSJ44RJLP108
N
N
USBANK
H85Z6XZP8B10ES0M2G89
N
N
GOLDMAN, SACHS & CO.
FOR8UP27PHTHYVLBNG30
N
N
BLOOMBERG TRADEBOOK LLC
549300P0PVQNO43T7K36
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
COWEN GROUP
5493008QI0EFC5WBED75
N
N
STIFEL NICOLAUS & CO., INC.
5WUVMA08EYG4KEUPW589
N
N
ALAMO CAPITAL
254900PX6PJH5Z19A906
N
N
UBS SECURITIES LLC
T6FIZBDPKLYJKFCRVK44
N
N
SUNTRUST
N/A
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
DEUTSCHE BANK SECURITIES, INC.
9J6MBOOO7BECTDTUZW19
N
N
JONES TRADING
2138008JJ5PA8H5UIL69
N
N
U.S. Bank Global Fund Services
85-11357
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
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
CNR Securities, LLC
8-36759
000018466
N/A
0
TRADEWEB DIRECT / JOHN PROVOST
8-52278
000103787
549300MII67ES5YBJH61
270687.20000000
SUMRIDGE PARTNERS
8-68454
000152437
529900ECMK8VI6Q1FG89
1399351.05000000
MESIROW FINANCIAL, INC.
8-28816
000002764
N/A
523345.00000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
19387969.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
7263690.85000000
NATIONAL FINANCIAL SERVICES CORPORATION
008-26740
000013041
549300JRHF1MHHWUAW04
1619314.50000000
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
243322.20000000
WELLS FARGO
008-65876
000126292
VYVVCKR63DVZZN70PB21
11292316.69000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1642785.00000000
B.C. ZIEGLER & CO.
8-00094
000000061
N/A
362095.25000000
0
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
7263690.85000000
SUMRIDGE PARTNERS
8-68454
000152437
529900ECMK8VI6Q1FG89
1399351.05000000
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
243322.20000000
B.C. ZIEGLER & CO.
8-00094
000000061
N/A
362095.25000000
TRADEWEB DIRECT / JOHN PROVOST
8-52278
000103787
549300MII67ES5YBJH61
270687.20000000
WELLS FARGO
008-65876
000126292
VYVVCKR63DVZZN70PB21
11292316.69000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
19387969.00000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1642785.00000000
MESIROW FINANCIAL, INC.
8-28816
000002764
N/A
523345.00000000
NATIONAL FINANCIAL SERVICES CORPORATION
008-26740
000013041
549300JRHF1MHHWUAW04
1619314.50000000
67937712.47
N
43362120.99
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
0
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-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
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
IHS Markit
549300HLPTRASHS0E726
GB
N
S&P
549300U4VWNITEKO2881
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
BANK OF AMERICA
549300HN4UKV1E2R3U73
N
N
U.S. Bank Global Fund Services
85-11357
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
BARCLAY BANK PLC
AC28XWWI3WIBK2824319
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
MILLENNIUM ADVISORS
254900E1P6Z2XZYSA163
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
DAIWA SECURITIES AMERICA, INC.
N/A
N
N
U.S. Bank
H85Z6XZP8B10ES0M2G89
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
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
0
0
N
0
Committed
400000000.00000000
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)
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 18f-4 (17 CFR 270.18f-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
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
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
DAVIDSON D.A., & COMPANY INC.
549300094RQ5A7DYLF51
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
JEFFERIES LLC
58PU97L1C0WSRCWADL48
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
B.C. ZIEGLER & CO.
N/A
N
N
U.S. Bank Global Fund Services
85-11357
N
N
MESIROW FINANCIAL INC
549300BIV46SUHPOFE54
N
N
WELLS FARGO
VYVVCKR63DVZZN70PB21
N
N
PIPER JAFFRAY
549300GRQCWQ3XGH0H10
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
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
0
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
33132286.00000000
DAVIDSON D.A., & COMPANY INC.
008-2399
000000199
549300094RQ5A7DYLF51
22860163.64999999
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
33710614.14999999
WELLS FARGO
008-65876
000126292
VYVVCKR63DVZZN70PB21
53806515.54999999
B.C. ZIEGLER & CO.
8-00094
000000061
N/A
148155722.75000000
HILLTOP SECURITIES INC
8-45123
000006220
549300IXU82PMU6XZT45
39361503.54999999
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
134284531.39999998
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
61695220.42000000
J.P. MORGAN SECURITIES
008-35008
000000079
ZBUT11V806EZRVTWT807
176310494.54999998
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
67079068.40000000
963084918.62999988
N
1244369233.39360670
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 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-4)
Y
Y
Y
Y
City National Rochdale, LLC
801-60150
000111759
N/A
N
ASHMORE INVESTMENTS
801-79169
000170303
549300WDXXY180HK8248
N
GB
N
T. ROWE PRICE ASSOCIATES, INC.
801-856
000105496
7HTL8AEQSEDX602FBU63
N
N
SEIX INVESTMENT ADVISORS
801-68743
000146029
549300L7I4W19C7JV575
N
N
AllFinancial Partners II, LLC
801-79231
000170142
N/A
N
N
FEDERATED INVESTMENT MANAGEMENT COMPANY
801-34612
000105138
549300SP92SGS5AXSV67
N
N
ALCENTRA LIMITED
801-74223
000160617
213800NWZWYYTIEXU364
N
GB
N
Alcentra NY, LLC
801-62417
000128557
5493006C55WUHGKZX458
N
N
U.S. Bank Global Fund Services
85-11357
N1GZ7BBF3NP8GI976H15
N
N
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
S&P
549300U4VWNITEKO2881
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
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
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
CITIGROUP
MBNUM2BPBDO7JBLYG310
N
N
BARCLAYS CAPITAL INC.
AC28XWWI3WIBK2824319
N
N
U.S. Bank Global Fund Services
85-11357
N
N
NOMURA
OXTKY6Q8X53C9ILVV871
N
N
GOLDMAN SACHS & CO
FOR8UP27PHTHYVLBNG30
N
N
NOMURA SECURITIES
OXTKY6Q8X53C9ILVV871
N
N
NOMURA
OXTKY6Q8X53C9ILVV871
N
N
CANTOR FITZGERALD & CO.
5493004J7H4GCPG6OB62
N
N
Merrill Lynch
8NAV47T0Y26Q87Y0QP81
N
N
MINT LONDON
ZWNFQ48RUL8VJZ2AIC12
N
N
JP MORGAN
ZBUT11V806EZRVTWT807
N
N
CREDIT SUISSE - FIRST BOSTON
1V8Y6QCX6YMJ2OELII46
N
N
MORGAN STANLEY & CO, INC
9R7GPTSO7KV3UQJZQ078
N
N
UBS FINANCIAL SERVICES INC
ETYRV6ORNFJB5NONI676
N
N
DEUTSCHE BANK SECURITIES, INC.
9J6MBOOO7BECTDTUZW19
N
N
J.P. MORGAN SECURITIES
5493007C5MW3TG916H27
N
N
JEFFERIES LLC
58PU97L1C0WSRCWADL48
N
N
BANCO SANTANDER
549300FT36TF8GQFTL08
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
SYMPHONIC SECURITIES LLC
8-67220
000139512
N/A
0
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
145.60000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
36.24000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
2497.00000000
GOLDMAN SACHS & CO
008-00129
000000361
FOR8UP27PHTHYVLBNG30
189.00000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
1015.00000000
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
126.23000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
54.60000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
296.80000000
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
1008.00000000
SG COWEN
008-22522
000007616
213800S7FGLGM4J4MV84
42.38000000
5410.85000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
141845183.77999997
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
94359302.54999999
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
391484120.65999997
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
286990301.75000006
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
156143047.50999999
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
203846417.64000002
J.P. MORGAN SECURITIES
008-35008
000000079
ZBUT11V806EZRVTWT807
325289536.91999996
BNP PARIBAS
008-32682
000015794
RCNB6OTYUAMMP879YW96
88213726.76000002
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
190896393.16000003
3087399487.80999850
N
2453900199.03000020
Committed
400000000.00000000
N
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
0
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-4)
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(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
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
S&P
549300U4VWNITEKO2881
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
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
CNR Securities, LLC
8-36759
000018466
N/A
0
INSTINET CLEARING SERVICES, INC.
008-23669
000007897
549300MGMN3RKMU8FT57
80103.06
MERRILL LYNCH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
227.5
UBS FINANCIAL SERVICES INC
008-16267
000008174
ETYRV6ORNFJB5NONI676
416.5
80747.06
0
Y
366465918
Committed
400000000.00000000
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 Board of Trustees of
City National Rochdale Funds
In planning and performing our audit of the financial
statements of City National Rochdale Government Money
Market Fund, City National Rochdale California Tax
Exempt Bond Fund, City National Rochdale Municipal
High
Income Fund, City National Rochdale Fixed Income
Opportunities Fund, City National Rochdale Equity
Income
Fund, and City National Rochdale U.S. Core Equity
Fund (the Funds), each a series of shares of
beneficial interest
in City National Rochdale Funds, as of and for the
year ended September 30, 2023, 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 generally accepted accounting
principles (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 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 its 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, 2023.
This report is intended solely for the information
and use of management and the Board of Trustees of
the 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.
COHEN & COMPANY, LTD.
Philadelphia, Pennsylvania
November 30, 2023