DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Thomas J. Eich

Advisor at RBC CAPITAL MARKETS, LLC

MINNEAPOLIS, MN | SAINT MICHAEL, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5f6c1a73-2255-336c-2ddb-9a59d9f6785b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 1, 2018 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: Nov 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 26, 2018
First registration: Aug 1, 2018
Dual registered: yes, broker-dealer
Other names: Thomas Eich|Thomas Joshua Eich|TJ Eich|Thomas J. Eich
IAPD individual key: 6927322

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	Jul 13, 2026	n/a	yes	MINNEAPOLIS, MN\|SAINT MICHAEL, MN	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jan 21, 2025	Mar 5, 2025	no	Edina, MN	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 14, 2018	Dec 5, 2024	no	MINNEAPOLIS, MN\|Hopkins, MN	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Aug 1, 2018	Jan 3, 2019	no	Minneapolis, MN\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	RBC CAPITAL MARKETS, LLC	Mar 5, 2025	Jul 13, 2026	495	Firm change after gap	Other
RBC CAPITAL MARKETS, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Dec 5, 2024	Jan 21, 2025	47	Firm change	Other
EQUITABLE ADVISORS, LLC	RBC CAPITAL MARKETS, LLC	Jan 3, 2019	Dec 14, 2018	-20	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Dec 14, 2018 to Dec 5, 2024factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jan 21, 2025 to Mar 5, 2025factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 1, 2018 to Jan 3, 2019factForm ADV

Dated events

Occurred
Mar 5, 2025
Advisor changed firm
Thomas J. Eich left Northwestern Mutual Investment Services,Llc for Rbc Capital Markets, Llc (registered 2026-07-13)
Form ADVobserved 6 days ago
Occurred
Dec 5, 2024
Advisor changed firm
Thomas J. Eich left Rbc Capital Markets, Llc for Northwestern Mutual Investment Services,Llc (registered 2025-01-21)
Form ADVobserved 6 days ago