DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner31 years in industry

CATHERINE MARY DOWNEY

Advisor at AMPERSAND INVESTMENT ADVISORS

CAMDEN, ME

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:874c8192-ac69-cf6b-34aa-868cc3bf13e7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 7, 2002 to Sep 14, 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: AMPERSAND INVESTMENT ADVISORS
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 15, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 15, 1995
First registration: Nov 7, 2002
Dual registered: no
Other names: CATHERINE M DOWNEY RISPOLI|CATHERINE DOWNEY RISPOLI|CATHERINE MARY RISPOLI|CATHERINE MARY DOWNEY-RISPOLI|CATHERINE DOWNEY-RISPOLI|CATHERINE DOWNEY|CATHY DOWNEY
IAPD individual key: 2627087

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
AMPERSAND INVESTMENT ADVISORS	State registered	May 14, 2026	n/a	yes	CAMDEN, ME	Current employment
Birchbrook	Independent wealth	Jan 7, 2026	Feb 18, 2026	no	BANGOR, ME	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 9, 2019	no	BANGOR, ME\|CAMDEN, ME\|Portland, ME	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jun 25, 2007	Jun 1, 2009	no	BANGOR, ME	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Nov 7, 2002	Jun 26, 2007	no	BANGOR, ME\|BANGOR, ME	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
Birchbrook	AMPERSAND INVESTMENT ADVISORS	Feb 18, 2026	May 14, 2026	85	Firm change	RIA to state RIA
MORGAN STANLEY	Birchbrook	Apr 9, 2019	Jan 7, 2026	2,465	Firm change after gap	Wirehouse to RIA
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
A. G. EDWARDS & SONS, INC.	MORGAN STANLEY & CO. LLC	Jun 26, 2007	Jun 25, 2007	-1	Firm change	Other

Relationships

Registered with (5)

→ AMPERSAND INVESTMENT ADVISORSRegistered adviserregistration: current employment
May 14, 2026 to presentfactForm ADV
→ BIRCHBROOKRegistered adviserregistration: previous registration
Jan 7, 2026 to Feb 18, 2026factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 9, 2019factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jun 25, 2007 to Jun 1, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Nov 7, 2002 to Jun 26, 2007factForm ADV

Dated events

Occurred
Feb 18, 2026
Advisor changed firm
Catherine Mary Downey left Birchbrook for Ampersand Investment Advisors (registered 2026-05-14)
Form ADVobserved 4 days ago