DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant28 years in industry

KATHLEEN ELIZABETH DUFFY

Advisor at APELLA WEALTH

McLean, VA | WEST HARTFORD, CT

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:122a0f8f-3d38-0d97-7341-c7fc4f5787ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 20, 1998 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: APELLA WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 26, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S65|S63
First exam: Mar 26, 1998
First registration: Apr 20, 1998
Dual registered: no
Other names: KATHY DUFFY
IAPD individual key: 3023588

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
APELLA WEALTH	Independent wealth	Jul 15, 2025	n/a	yes	McLean, VA\|WEST HARTFORD, CT	Current employment
IFOCUS FINANCIAL, LLC	n/a	May 23, 2011	Nov 5, 2013	no	MCLEAN, VA	Previous registration
INDEPENDENCE WEALTH ADVISORS INC.	Former SEC adviser	Jan 5, 2007	Sep 5, 2025	no	MCLEAN, VA\|MCLEAN, VA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 20, 1998	Jan 5, 2007	no	FALLS CHURCH, VA	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
INDEPENDENCE WEALTH ADVISORS INC.	IFOCUS FINANCIAL, LLC	Sep 5, 2025	May 23, 2011	-5,219	Firm change after gap	Other
IFOCUS FINANCIAL, LLC	APELLA WEALTH	Nov 5, 2013	Jul 15, 2025	4,270	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	INDEPENDENCE WEALTH ADVISORS INC.	Jan 5, 2007	Jan 5, 2007	0	Firm change	Other

Relationships

Registered with (4)

→ APELLA WEALTHRegistered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ INDEPENDENCE WEALTH ADVISORS INC.Registered adviserregistration: previous registration
Jan 5, 2007 to Sep 5, 2025factForm ADV
→ IFOCUS FINANCIAL, LLCRegistered adviserregistration: previous registration
May 23, 2011 to Nov 5, 2013factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 20, 1998 to Jan 5, 2007factForm ADV

Dated events

Occurred
Sep 5, 2025
Advisor changed firm
Kathleen Elizabeth Duffy left Independence Wealth Advisors Inc. for Ifocus Financial, Llc (registered 2011-05-23)
Form ADVobserved 5 days ago