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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

PATRICK JOHN PFAHL

Advisor at RBC CAPITAL MARKETS, LLC

Duluth, MN | DULUTH, MN

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Search this name across graphsid dfx:ria:9c419da4-4d68-591d-42ad-b5aded7384be

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2004 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: Jun 15, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 9, 2010
First registration: Jun 15, 2004
Dual registered: yes, broker-dealer
Other names: PAT PFAHL
IAPD individual key: 1654162

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	Dec 19, 2016	n/a	yes	DULUTH, MN\|Duluth, MN	Current employment
CHOREO, LLC	Independent wealth	Sep 21, 2011	Nov 4, 2016	no	DULUTH, MN	Previous registration
BLUE WATER CAPITAL ADVISORS, LLC	Former SEC adviser	Nov 10, 2010	Aug 16, 2011	no	GRAND HAVEN, MI	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jun 15, 2004	Nov 2, 2006	no	EDINA, MN\|BLOOMINGTON, 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
CHOREO, LLC	RBC CAPITAL MARKETS, LLC	Nov 4, 2016	Dec 19, 2016	45	Firm change	Other
BLUE WATER CAPITAL ADVISORS, LLC	CHOREO, LLC	Aug 16, 2011	Sep 21, 2011	36	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	BLUE WATER CAPITAL ADVISORS, LLC	Nov 2, 2006	Nov 10, 2010	1,469	Firm change after gap	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Dec 19, 2016 to presentfactForm ADV
→ CHOREO, LLCRegistered adviserregistration: previous registration
Sep 21, 2011 to Nov 4, 2016factForm ADV
→ BLUE WATER CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 10, 2010 to Aug 16, 2011factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 15, 2004 to Nov 2, 2006factForm ADV

Dated events

No dated event names this entity yet.