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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

KATHLEEN A DALTON

Advisor at STRATEGIC ADVISERS LLC

COVINGTON, KY

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Search this name across graphsid dfx:ria:36aaafe7-0071-97dd-7fac-d888228b278d

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 17, 2021 to Sep 19, 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: STRATEGIC ADVISERS 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: Aug 29, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 29, 2006
First registration: Mar 17, 2021
Dual registered: yes, broker-dealer
Other names: KATHLEEN ALISSA WOOLFORD|KATHLEEN DALTON|Kathleen Alissa Dalton
IAPD individual key: 5174311

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	COVINGTON, KY	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Sep 12, 2023	Mar 31, 2025	no	COVINGTON, KY	Previous registration
STANCORP INVESTMENT ADVISERS, INC.	Other adviser	Apr 5, 2022	Jul 6, 2023	no	PORTLAND, OR	Previous registration
SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY	Former SEC adviser	Mar 17, 2021	Feb 23, 2022	no	NORTHBROOK, IL\|Cincinnati, OH	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STANCORP INVESTMENT ADVISERS, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 6, 2023	Sep 12, 2023	68	Firm change	RIA to ibd
SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY	STANCORP INVESTMENT ADVISERS, INC.	Feb 23, 2022	Apr 5, 2022	41	Firm change	Other

Relationships

Registered with (4)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Sep 12, 2023 to Mar 31, 2025factForm ADV
→ STANCORP INVESTMENT ADVISERS, INC.Registered adviserregistration: previous registration
Apr 5, 2022 to Jul 6, 2023factForm ADV
→ SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANYRegistered adviserregistration: previous registration
Mar 17, 2021 to Feb 23, 2022factForm ADV

Dated events

Occurred
Jul 6, 2023
Advisor changed firm
Kathleen A Dalton left Stancorp Investment Advisers, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-09-12)
Form ADVobserved 6 days ago
Occurred
Feb 23, 2022
Advisor changed firm
Kathleen A Dalton left Sheridan Road Advisors, Llc, A Hub International Company for Stancorp Investment Advisers, Inc. (registered 2022-04-05)
Form ADVobserved 6 days ago