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RIA / WealthAdvisor10 years in industry

Kataya Lorelei Plett

Advisor at FISHER INVESTMENTS

PLANO, TX | Camas, WA

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Search this name across graphsid dfx:ria:bd41aab6-fdfe-10d3-7b7f-af7bd67d91fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jun 15, 2021 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: FISHER INVESTMENTS
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: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Dec 29, 2020
First registration: Jun 15, 2021
Dual registered: no
IAPD individual key: 6753629

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
FISHER INVESTMENTS	Independent wealth	Mar 18, 2024	n/a	yes	Camas, WA\|PLANO, TX	Current employment
TRADEWINDS WEALTH MANAGEMENT	Independent wealth	Mar 9, 2023	Mar 13, 2024	no	PORTLAND, OR	Previous registration
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Jan 26, 2023	Mar 9, 2023	no	Portland, OR\|OLYMPIA, WA	Previous registration
AIO FINANCIAL, LLC	Independent wealth	Jun 15, 2021	Sep 21, 2022	no	TUCSON, AZ	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
TRADEWINDS WEALTH MANAGEMENT	FISHER INVESTMENTS	Mar 13, 2024	Mar 18, 2024	5	Firm change	RIA to RIA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	TRADEWINDS WEALTH MANAGEMENT	Mar 9, 2023	Mar 9, 2023	0	Firm change	RIA to new firm
AIO FINANCIAL, LLC	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Sep 21, 2022	Jan 26, 2023	127	Firm change	RIA to RIA

Relationships

Registered with (4)

→ FISHER INVESTMENTSRegistered adviserregistration: current employment
Mar 18, 2024 to presentfactForm ADV
→ TRADEWINDS WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 9, 2023 to Mar 13, 2024factForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 26, 2023 to Mar 9, 2023factForm ADV
→ AIO FINANCIAL, LLCRegistered adviserregistration: previous registration
Jun 15, 2021 to Sep 21, 2022factForm ADV

Dated events

Occurred
Mar 13, 2024
Advisor changed firm
Kataya Lorelei Plett left Tradewinds Wealth Management for Fisher Investments (registered 2024-03-18)
Form ADVobserved 4 days ago
Occurred
Mar 9, 2023
Advisor changed firm
Kataya Lorelei Plett left Financial Advocates Investment Management for Tradewinds Wealth Management (registered 2023-03-09)
Form ADVobserved 4 days ago
Occurred
Sep 21, 2022
Advisor changed firm
Kataya Lorelei Plett left Aio Financial, Llc for Financial Advocates Investment Management (registered 2023-01-26)
Form ADVobserved 4 days ago