-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UzNcSa3ObADGsO+6+pdY9PDqPy7lZniLIfKDzcbl9sdgudya+gCkQFBK+0Xh2s41 t658KGfvpa01PUd4IRcV0w== 0001332905-07-000029.txt : 20071108 0001332905-07-000029.hdr.sgml : 20071108 20071108111135 ACCESSION NUMBER: 0001332905-07-000029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071108 DATE AS OF CHANGE: 20071108 EFFECTIVENESS DATE: 20071108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RMB Capital Management, LLC CENTRAL INDEX KEY: 0001332905 IRS NUMBER: 593792751 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11714 FILM NUMBER: 071223997 BUSINESS ADDRESS: STREET 1: 10 SOUTH WACKER DRIVE, SUITE 3210 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 993-5800 MAIL ADDRESS: STREET 1: 10 SOUTH WACKER DRIVE, SUITE 3210 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 c13f-093007.txt UNITED STATES SECURIITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Quarter ended: September 30, 2007 Institutional Investment Manager Filing this Report: Name: RMB Capital Management, LLC Address: 10 S. Wacker Dr. STE. 3210 Chicago, IL 60606 13F File Number: 28-11714 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this submission. Person Signing this Report on Behalf of Reporting Manager: Name: Jennifer A. Rydwelski Title: Chief Compliance Officer Phone: 312-993-5822 Signature: /s/Jennifer A. Rydwelski Place: Chicago, IL Date: November 7, 2007 Report Type: 13F HOLDINGS REPORT FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 15 Form 13F Information Table Entry Total: 422 Form 13F Information Table Value Total: $713,367 (thousands) No.13F File Number Name 01 28-05920 DELAWARE CAPITAL MANAGEMENT, INC. 02 28-02321 ALLIANCE BERNSTEIN 03 28-03871 NEWGATE LLP 04 28-05936 ATLANTA CAPITAL MANAGEMENT CO LLC 06 28-06986 HORIZON ASSET MANAGEMENT, INC. 08 28-05620 BRANDES INVESTMENT PARTNERS LP 09 28-04003 ARIEL CAPITAL MANAGEMENT INC. 11 28-06748 MARSICO CAPITAL MANAGEMENT LLC 13 28-05621 SANTA BARBARA ASSET MANAGEMENT 15 28-02635 GARDNER RUSSO & GARDNER 18 28-01204 WENTWORTH, HAUSER, & VIOLICH, INC. 19 N/A QIS ADVISORS, LLC 20 28-10469 LAZARD ASSET MANAGEMENT, LLC 21 28-03935 GENEVA CAPITAL MANAGEMENT LTD. 23 28-01343 JANUS CAPITAL MANAGEMENT, LLC FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBLTD SPONSORED ADR ADR 000375204 9 360.0 SH SOLE 360.0 359 13673.0 SH OTHER 19 13673.0 ABN AMRO HLDG NV SPONS NETHERL ADR 000937102 313 5965.0 SH OTHER 19 08 3958.0 2007.0 ACOM CO LTD SPON ADR ADR 004845202 64 11430.0 SH OTHER 08 11430.0 ADVANCED SEMICONDUCTOR ENGR IN ADR 00756m404 1240 228717.5 SH OTHER 20 228717.5 ALCATEL-LUCENT SPON ADR ADR 013904305 165 16238.0 SH OTHER 19 08 1988.0 14250.0 ALLIANZ SE ADR ADR 018805101 1002 43070.0 SH OTHER 19 02 18 11520.0 31550.0 AMCOR LTD NEW AU ADR ADR 02341r302 2 60.0 SH SOLE 60.0 480 18390.89 SH OTHER 01 18 18390.89 AMERICA MOVIL S.A.B. DE C.V. S ADR 02364w105 203 3179.00 SH OTHER 03 19 11 898.0 2281.0 ANGLO AMERN PLC NEW ADR ADR 03485p201 204 6093.76 SH OTHER 03 19 4665.0 1428.76 AQUARIUSPLATINUM LTD SPONS ADR ADR 03840m208 1761 23953.00 SH OTHER 20 23953.0 ARACRUZCELULOSE S A SPON ADR R ADR 038496204 536 7288.00 SH OTHER 18 01 7288.0 ASTRAZENECA PLC SPON ADR ADR 046353108 6 112.00 SH SOLE 112.0 545 10880.00 SH OTHER 19 08 02 18 2480.0 8400.0 AU OPTRONICS CORP ADS ADR 002255107 0 11.00 SH SOLE 11.0 335 19797.74 SH OTHER 03 19 02 18 1077.0 18720.74 AXASA EACH REPSTG 1 ORD SHS ADR 054536107 7 148.00 SH SOLE 148.0 682 15285.00 SH OTHER 18 19 01 4757.0 10528.0 BAE SYSTEMS PLC SPON ADR ADR 05523r107 546 13566.00 SH OTHER 02 23 18 13566.0 BANCO SANTANDER S.A SPON ADR ADR 05964h105 12 627.00 SH SOLE 627.0 2227 115345.52SH OTHER 01 19 18 12981.0 102364.52 BARCLAYS PLC ADR ADR 06738e204 617 12691.00 SH OTHER 19 02 18 2477.0 10214.0 BASF AG SPON ADR ADR 055262505 9 64.00 SH SOLE 64.0 1213 8758.00 SH OTHER 18 19 02 01 322.0 8436.0 BAYER A G SPON ADR ADR 072730302 2 31.00 SH SOLE 31.0 846 10661.34 SH OTHER 01 19 18 753.0 9908.34 BG GROUP PLC SPON ADR ADR 055434203 5 54.00 SH SOLE 54.0 1570 18220.33 SH OTHER 01 19 18 697.0 17523.33 BHP BILLITON LTD SPON ADR ADR 088606108 3484 44326.00 SH OTHER 18 19 01 3146.0 41180.0 BHP BILLITON PLC NEW SPON ADR ADR 05545e209 458 6371.00 SH OTHER 19 02 18 2126.0 4245.0 BNP PARIBAS SA ADR ADR 05565a202 2 41.00 SH SOLE 41.0 1305 23910.00 SH OTHER 01 02 18 23910.0 BP PLC SPON ADR ADR 055622104 500 7204.00 SH SOLE 7204.0 1535 22127.35 SH OTHER 01 19 02 18 3152.0 18975.35 BRASILTELECOM PARTICIPACOES S ADR 105530109 740 9918.00 SH OTHER 20 9918.0 BRITISH AMER TOBACCO PLC GB SP ADR 110448107 1217 16913.00 SH OTHER 18 19 02 01 2194.0 14719.0 CADBURYSCHWEPPES PLC ADR EA RE ADR 127209302 6 120.00 SH SOLE 120.0 498 10714.00 SH OTHER 18 19 01 1381.0 9333.0 CANON INC ADR JAPAN ADR 138006309 6 102.00 SH SOLE 102.0 1860 34269.24 SH OTHER 01 19 18 2003.0 32266.24 CEMEX S.A.B. 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SPON ADR ADR 151290889 1229 41080.00 SH OTHER 03 20 19 1042.0 40038.0 CHINA MOBILE LTD SPON ADR ADR 16941m109 14 176.00 SH SOLE 176.0 348 4237.00 SH OTHER 03 19 11 1050.0 3187.0 CHINA PETROLEUM & CHEMICAL COR ADR 16941r108 309 2511.00 SH OTHER 02 19 18 25.0 2486.0 CHINATELECOM CORP LTD SPON ADR ADR 169426103 782 10220.00 SH OTHER 20 10220.0 CNOOC LTD SPON ADR ADR 126132109 2389 14357.00 SH OTHER 03 06 19 327.0 14030.0 COMPANHIA ENERGETICA DE MINAS ADR 204409601 1374 64429.00 SH OTHER 03 20 64429.0 COMPANHIA VALE DO RIO DOCE SPO ADR 204412209 3 91.00 SH SOLE 91.0 3993 117694.00SH OTHER 03 18 20 19 2335.0 115359.0 CREDIT SUISSE GROUP SPON ADR ADR 225401108 13 196.00 SH SOLE 196.0 545 8212.00 SH OTHER 19 02 18 2157.0 6055.0 DESARROLLADORA HOMEX S A DE C ADR 25030w100 1863 33563.00 SH OTHER 03 20 19 142.0 33421.0 DEUTSCHE BANK AG REG SHS ORD ADR d18190898 265 2064.00 SH OTHER 19 02 18 839.0 1225.0 DEUTSCHE TELEKOM AG DE SPON AD ADR 251566105 5 248.00 SH SOLE 248.0 1861 94807.00 SH OTHER 01 19 08 18 3139.0 91668.0 DIAGEOPLC ISIN #US25243Q2057 ADR 25243q205 1530 17436.00 SH OTHER 18 19 01 2078.0 15358.0 E ON AG SPON ADR ADR 268780103 11 180.00 SH SOLE 180.0 704 11491.00 SH OTHER 19 02 18 1898.0 9593.0 ELANCORP PLC ADR ADR 284131208 615 29250.00 SH SOLE 29250.0 10 460.00 SH OTHER 19 460.0 EMBRAEREMPRESA BRASILERIA SPON ADR 29081m102 795 18100.00 SH OTHER 20 19 647.0 17453.0 ENI SPA IT SPON ADR ADR 26874r108 602 8158.00 SH OTHER 19 02 18 1223.0 6935.0 FOMENTO ECONOMICO MEXICANO S.A ADR 344419106 1198 32036.00 SH OTHER 03 20 19 230.0 31806.0 FORTIS NL NEW "MANDATORY EXCHA ADR 34956j309 3 115.00 SH SOLE 115.0 1350 45983.00 SH OTHER 01 02 18 45983.0 FOSTERS GROUP LTD NEW SPONS AD ADR 350258307 2 375.00 SH SOLE 375.0 685 118553.00SH OTHER 01 18 118553.0 FRANCE TELECOM SA SPON ADR ADR 35177q105 397 11862.00 SH OTHER 19 08 02 18 1834.0 10028.0 GLAXO SMITHKLINE PLC ADR ADR 37733w105 11 212.00 SH SOLE 212.0 2326 43719.49 SH OTHER 01 19 08 02 5205.0 38514.49 GRUPO TELEVISA SA DE CV GLOBAL ADR 40049j206 1303 53909.00 SH OTHER 03 20 19 759.0 53150.0 HBOS PLC SPON ADR ADR 42205m106 5 245.00 SH SOLE 245.0 1987 106658.00SH OTHER 01 02 18 106658.0 HONDA MOTOR CO ADR JAPAN ADR 438128308 289 8664.00 SH OTHER 19 02 18 3145.0 5519.0 HONG KONG ELEC HLDGS LTD (HONG ADR 438580300 2 395.00 SH SOLE 395.0 653 125593.00SH OTHER 01 18 125593.0 HSBC HOLDINGS PLC NEW GB SPON ADR 404280406 543 5862.00 SH OTHER 19 08 4736.0 1126.0 HUANENG POWER INTL INC SPONSOR ADR 443304100 1707 32337.00 SH OTHER 03 06 32337.0 ICICI BANK LTD SPON ADR ADR 45104g104 731 13870.00 SH OTHER 03 06 19 231.0 13639.0 IMPERIALHLDGS LTD SPON ADR NEW ADR 452833205 1516 81035.00 SH OTHER 20 81035.0 ING GROEP N V NL SPON ADR ADR 456837103 11 258.00 SH SOLE 258.0 2581 58252.12 SH OTHER 01 19 02 18 4374.0 53878.12 IOCHPEMAXION S.A. ADR ADR 461865107 1325 158326.00SH OTHER 20 158326.0 KAO CORP REPSTG 10 SHS COM SPO ADR 485537302 5 17.00 SH SOLE 17.0 1686 5653.00 SH OTHER 01 18 5653.0 KIMBERLYCLARK DE MEXICO S A B ADR 494386204 662 29371.00 SH OTHER 20 29371.0 KLABINSA SPON ADR REPSTG PREF ADR 49834m100 1007 26508.00 SH OTHER 20 26508.0 KONINKLIJKE AHOLD NV NEW 2007 ADR 500467402 394 26121.00 SH OTHER 19 08 02 18 6816.0 19305.0 KOOKMIN BANK SPON ADR ADR 50049m109 2435 29704.00 SH OTHER 03 20 19 02 609.0 29095.0 KOREA ELECTRIC POWER CRP SPONS ADR 500631106 554 23923.00 SH OTHER 03 19 06 08 1383.0 22540.0 KUMBAIRON ORE SPONSORED ADR ADR 50125n104 1740 53097.00 SH OTHER 20 53097.0 LLOYDS TSB GROUP PLC SPON ADR ADR 539439109 4 100.00 SH SOLE 100.0 1555 34980.52 SH OTHER 01 19 18 2947.0 32033.52 MILLEA HOLDINGS INC ADR ADR 60032r106 4 108.00 SH SOLE 108.0 1512 37638.09 SH OTHER 01 08 18 37638.09 MITSUBISHI UFJ FINANCIAL GROUP ADR 606822104 558 61439.00 SH OTHER 19 08 02 18 13820.0 47619.0 MITSUI& CO LTD ADR ADR 606827202 224 460.00 SH OTHER 19 460.0 MIZUHO FINANCIAL GROUP INC SPO ADR 60687y109 207 18246.00 SH OTHER 19 08 9006.0 9240.0 MOBILE TELESYSTEMS OJSC SPON A ADR 607409109 2442 35226.00 SH OTHER 03 20 19 431.0 34795.0 NATIONAL GRID PLC NEW SPON ADR ADR 636274300 3 36.00 SH SOLE 36.0 1072 13366.43 SH OTHER 01 19 18 1684.0 11682.43 NATL AUSTRALIA BANK LTD SPON A ADR 632525408 6 35.00 SH SOLE 35.0 1917 10912.02 SH OTHER 01 18 10912.02 NEC CORP ADR JAPAN ADR 629050204 104 22046.00 SH OTHER 08 19 536.0 21510.0 NEDBANKGROUP LTD SPONS ADR ADR 63975k104 1109 30591.00 SH OTHER 20 30591.0 NESTLE S A SPONSORED ADR REPST ADR 641069406 2031 18144.00 SH OTHER 18 08 15 01 18144.0 NIPPON TELEG & TEL CORP SPON A ADR 654624105 3 131.00 SH SOLE 131.0 1642 70568.40 SH OTHER 01 19 08 02 2202.0 68366.4 NISSAN MTR LTD SPONS ADR JAPAN ADR 654744408 4 184.00 SH SOLE 184.0 348 17410.00 SH OTHER 19 02 18 1631.0 15779.0 NOKIACORP ADR ADR 654902204 15 400.00 SH SOLE 400.0 256 6756.00 SH OTHER 19 6756.0 NOVARTIS AG SPON ADR ADR 66987v109 5 91.00 SH SOLE 91.0 3991 72614.00 SH OTHER 01 18 19 08 4478.0 68136.0 OAO GAZPROM LEVEL 1 ADR PROGRA ADR 368287207 2122 48112.00 SH OTHER 03 06 48112.0 ORIX CORP SPON ADR ADR 686330101 342 3019.00 SH OTHER 19 02 18 225.0 2794.0 P.T. TELEKOMUNIKASI INDONESIA ADR 715684106 1352 27698.00 SH OTHER 03 20 19 387.0 27311.0 PETROLEO BRASILEIRO SA ADR 71654v408 1586 21001.00 SH OTHER 20 19 02 11 586.0 20415.0 PETROLEO BRASILEIRO SA PETROBR ADR 71654v101 568 8786.00 SH OTHER 03 19 02 18 735.0 8051.0 PHILIPPINE LONG DISTANCE TEL C ADR 718252604 1662 25839.00 SH OTHER 03 20 19 13.0 25826.0 POSCO SPON ADR ADR 693483109 678 3792.00 SH OTHER 03 19 02 18 554.0 3238.0 REED ELSEVIER NV REPSTG 2 ORD ADR 758204101 4 101.00 SH SOLE 101.0 1269 33410.34 SH OTHER 01 19 18 1012.0 32398.34 RIOTINTO PLC SPON ADR ADR 767204100 10 28.00 SH SOLE 28.0 3130 9114.00 SH OTHER 18 19 01 464.0 8650.0 ROYAL DUTCH SHELL PLC CL A SPO ADR 780259206 1025 12473.57 SH SOLE 12473.57 1880 22871.16 SH OTHER 01 19 02 18 1791.0 21080.16 RWE AG ADR ADR 74975e303 6 51.00 SH SOLE 51.0 2925 23364.00 SH OTHER 01 18 02 23364.0 SANOFI-AVENTIS SA SPON ADR ADR 80105n105 742 17499.00 SH OTHER 19 08 02 18 3445.0 14054.0 SASOL LTD SPON ADR ADR 803866300 2 46.00 SH SOLE 46.0 705 16395.45 SH OTHER 03 01 19 18 447.0 15948.45 SATYAM COMPUTER SERVICES LTD A ADR 804098101 1463 56499.00 SH OTHER 20 19 194.0 56305.0 SHARP CORP UNSPONSORED ADR ADR 819882200 469 25870.00 SH OTHER 02 18 25870.0 SHINHAN FINANCIAL HLDG CO SPON ADR 824596100 2144 16707.00 SH OTHER 03 20 19 311.0 16396.0 SIEMENSA G SPON ADR ISIN #US82 ADR 826197501 14 100.00 SH SOLE 100.0 711 5178.00 SH OTHER 19 5178.0 SILICONWARE PRECISION INDS CO ADR 827084864 0 7.00 SH SOLE 7.0 147 12138.00 SH OTHER 03 02 18 20 12138.0 SIMCERE PHARMACEUTICAL GROUP S ADR 82859p104 929 58290.00 SH OTHER 20 19 423.0 57867.0 SK TELECOM CO LTD ADR ADR 78440p108 1089 36678.00 SH OTHER 03 20 08 36678.0 SOCIETE GENERALE FRANCE SPONS ADR 83364l109 6 170.00 SH SOLE 170.0 2402 71756.00 SH OTHER 01 02 18 71756.0 SONY CORP ADR NEW JAPAN ADR 835699307 5 104.00 SH SOLE 104.0 354 7358.00 SH OTHER 19 08 02 23 2640.0 4718.0 STORA ENSO OYJ REPSTG SER R SH ADR 86210m106 2 114.00 SH SOLE 114.0 1444 74648.08 SH OTHER 01 18 19 02 1665.0 72983.08 SUEZSPON ADR ADR 864686100 240 4088.00 SH OTHER 19 4088.0 SUMITOMO MITSUI FINANCIAL GROU ADR 86562m100 572 73454.00 SH OTHER 02 08 18 73454.0 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 0 2.00 SH SOLE 2.0 1195 118051.56SH OTHER 03 20 19 02 4460.0 113591.56 TAMS A SPONSORED ADR REPSTG PF ADR 87484d103 809 29527.00 SH OTHER 20 19 41.0 29486.0 TELECOM CORP NEW ZEALAND LTD S ADR 879278208 2 129.00 SH SOLE 129.0 745 43926.42 SH OTHER 01 19 08 18 392.0 43534.42 TELECOM ITALIA SPA NEW REPSTG ADR 87927y102 209 6921.00 SH OTHER 19 08 1124.0 5797.0 TELEFONICA S A SPON ADR ADR 879382208 9 101.77 SH SOLE 101.77 2588 30878.92 SH OTHER 01 19 08 18 1708.0 29170.92 TELSTRA CORP LTD (FINAL) ADR ADR 87969n204 4 189.00 SH SOLE 189.0 1157 59951.24 SH OTHER 01 18 59951.24 TENARIS S.A. 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