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RIA / WealthAdvisorCertified Financial Planner23 years in industry

KATHRYN ANN ALLEN

Advisor at CLEARPOINT WEALTH MANAGEMENT

COLLEYVILLE, TX

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Search this name across graphsid dfx:ria:88007b9b-675c-8936-7778-2e1211e3ffd9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 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: CLEARPOINT WEALTH MANAGEMENT
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: Jan 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 18, 2012
First registration: Mar 20, 2012
Dual registered: no
Other names: KATHRYN ANN SARGENT|ALLEN ANN KAY
IAPD individual key: 5934449

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
CLEARPOINT WEALTH MANAGEMENT	State registered	Nov 5, 2025	n/a	yes	COLLEYVILLE, TX	Current employment
ALLEN WEALTH ADVISORS	State registered	Oct 1, 2020	Dec 31, 2025	no	COLLEYVILLE, TX	Previous registration
TRINITY PORTFOLIO ADVISORS, LLC	Independent wealth	Dec 18, 2018	Oct 5, 2020	no	Colleyville, TX\|Colleyville, TX	Previous registration
ASPEN WEALTH MANAGEMENT, LLC	Independent wealth	Jan 31, 2013	Dec 13, 2018	no	FORT WORTH, TX\|COLLEYVILLE, TX	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jan 30, 2013	Nov 2, 2013	no	FORT WORTH, TX\|GREENWOOD VILLAGE, CO\|COLLEYVILLE, TX	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Mar 20, 2012	Oct 25, 2012	no	IRVING, TX\|BEDFORD, TX	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
ALLEN WEALTH ADVISORS	CLEARPOINT WEALTH MANAGEMENT	Dec 31, 2025	Nov 5, 2025	-56	Firm change after gap	Other
TRINITY PORTFOLIO ADVISORS, LLC	ALLEN WEALTH ADVISORS	Oct 5, 2020	Oct 1, 2020	-4	Firm change	RIA to state RIA
ASPEN WEALTH MANAGEMENT, LLC	TRINITY PORTFOLIO ADVISORS, LLC	Dec 13, 2018	Dec 18, 2018	5	Firm change	RIA to RIA
CETERA ADVISORS LLC	ASPEN WEALTH MANAGEMENT, LLC	Nov 2, 2013	Jan 31, 2013	-275	Firm change after gap	Other
THRIVENT INVESTMENT MANAGEMENT INC.	CETERA ADVISORS LLC	Oct 25, 2012	Jan 30, 2013	97	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
310105:337649:TX:2025-12-31	Dec 31, 2025	Nov 5, 2025	COLLEYVILLE, TX	Firm change after gap

Relationships

Registered with (6)

→ CLEARPOINT WEALTH MANAGEMENTRegistered adviserregistration: current employment
Nov 5, 2025 to presentfactForm ADV
→ ALLEN WEALTH ADVISORSRegistered adviserregistration: previous registration
Oct 1, 2020 to Dec 31, 2025factForm ADV
→ TRINITY PORTFOLIO ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 18, 2018 to Oct 5, 2020factForm ADV
→ ASPEN WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 31, 2013 to Dec 13, 2018factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jan 30, 2013 to Nov 2, 2013factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Mar 20, 2012 to Oct 25, 2012factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
Kathryn Ann Allen left Allen Wealth Advisors for Clearpoint Wealth Management (registered 2025-11-05)
Form ADVobserved 6 days ago