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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)28 years in industry

ATUL KUMAR BHATIA

Advisor at RBC CAPITAL MARKETS, LLC

MINNEAPOLIS, MN | FLORHAM PARK, NJ | CHANHASSEN, MN

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Search this name across graphsid dfx:ria:2d9cc16e-29e3-c51f-063a-e67d2bef1822

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2014 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 5, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S66|S63
First exam: Dec 5, 1997
First registration: Jun 25, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 2974003

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Oct 5, 2022	n/a	yes	FLORHAM PARK, NJ\|MINNEAPOLIS, MN\|CHANHASSEN, MN	Current employment
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	Mixed wealth	Aug 16, 2016	Sep 26, 2019	no	CHANHASSEN, MN\|MIAMI, FL	Previous registration
EFG CAPITAL ADVISORS INC.	Former SEC adviser	Jan 19, 2016	Feb 22, 2019	no	MIAMI, FL\|CHANHASSEN, MN	Previous registration
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	Mixed wealth	Jun 25, 2014	Jul 2, 2015	no	MIAMI, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	RBC CAPITAL MARKETS, LLC	Sep 26, 2019	Oct 5, 2022	1,105	Firm change after gap	RIA to ibd
EFG CAPITAL ADVISORS INC.	EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	Feb 22, 2019	Aug 16, 2016	-920	Firm change after gap	Other
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	EFG CAPITAL ADVISORS INC.	Jul 2, 2015	Jan 19, 2016	201	Firm change	Other

Relationships

Registered with (3)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Oct 5, 2022 to presentfactForm ADV
→ EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.Registered adviserregistration: previous registration
Aug 16, 2016 to Sep 26, 2019factForm ADV
→ EFG CAPITAL ADVISORS INC.Registered adviserregistration: previous registration
Jan 19, 2016 to Feb 22, 2019factForm ADV

Dated events

No dated event names this entity yet.