Friday, October 23, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB Vanguard is fulfilling Salim Ramji's May 1 promised renewal of 'Flagship' platinum tier service after it eroded, and he's willing to count non-Vanguard funds against the $1-million minimum for the first timeIN RIA IPO 'probably' coming within two years, dealmaker predictsIN Women Advisor Summit 2026: Get set for 'extraordinary' gathering of industry’s female leaders4K IRS Expands Retirement Plan Error Corrections, Creates New IRA ProgramWM New Options Emerge for Providing Liquidity to Evergreen Fund MarketIN Advisor moves: RBC lands $1B UBS team in PittsburghIN NFL taps General Atlantic, PE backer of Creative Planning and FartherWM Mariner Wealth Advisors Seeks $150M in Additional Debt for AcquisitionsTA Workers Think They're Financially Healthier Than They Are: VoyaFP Merrill announces laser-targeted advisor bonus incentives for 2027

Adviser and broker representative · RBC Capital Markets, LLC

Louis D. Oswalt

CRD 2594951 · Minneapolis, MN

At a glance

Louis D. Oswalt is an investment adviser representative with RBC Capital Markets, LLC in Minneapolis, MN, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Louis’s SEC record dates to 2013, about 12 years ago. Louis is also registered as a broker representative.

Current advisory firm

SEC adviser record

Registered since
2013 (12 years)
Designations
None on file
Exams
Series 63, Series 65
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
Yes, see the SEC record

AtlasMembers

Louis’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

More at RBC Capital Markets, LLC

Every advisor at RBC Capital Markets, LLC →RBC Capital Markets, LLC: assets, clients and custodians →RBC news, moves and payouts →Financial advisors in Minneapolis, MN →Every RBC Capital Markets, LLC advisor in Minneapolis →Advisor Moves: who changed firms this week →