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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Kathy S Dyer

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

NOKOMIS, FL | Florham Park, NJ

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Search this name across graphsid dfx:ria:f70f04e5-63a2-4269-7f0c-50b4355d7f48

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 23, 2016 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: ROCKEFELLER CAPITAL MANAGEMENT
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S65|S63
First exam: Nov 5, 2016
First registration: Nov 23, 2016
Dual registered: yes, broker-dealer
Other names: KATHY SUE SMITH
IAPD individual key: 6122512

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
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Jan 24, 2025	n/a	yes	NOKOMIS, FL	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Jan 24, 2025	n/a	yes	Florham Park, NJ\|NOKOMIS, FL	Current employment
MORGAN STANLEY	Wirehouse	Apr 26, 2022	Feb 6, 2025	no	Sarasota, FL	Previous registration
IRONVIEW CAPITAL MANAGEMENT, LLC	Independent wealth	Oct 8, 2018	Dec 22, 2020	no	CONSHOHOCKEN, PA\|Nokomis, FL	Previous registration
COLUMBUS MACRO, LLC	Asset manager	May 16, 2018	Oct 8, 2018	no	Nokomis, FL	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Nov 23, 2016	May 31, 2017	no	Sarasota, FL	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
MORGAN STANLEY	ROCKEFELLER CAPITAL MANAGEMENT	Feb 6, 2025	Jan 24, 2025	-13	Firm change	Wirehouse to ibd
IRONVIEW CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Dec 22, 2020	Apr 26, 2022	490	Firm change after gap	RIA to wirehouse
COLUMBUS MACRO, LLC	IRONVIEW CAPITAL MANAGEMENT, LLC	Oct 8, 2018	Oct 8, 2018	0	Firm change	Other
FIRST ALLIED ADVISORY SERVICES, INC.	COLUMBUS MACRO, LLC	May 31, 2017	May 16, 2018	350	Firm change	Other

Relationships

Registered with (6)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 26, 2022 to Feb 6, 2025factForm ADV
→ IRONVIEW CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 8, 2018 to Dec 22, 2020factForm ADV
→ COLUMBUS MACRO, LLCRegistered adviserregistration: previous registration
May 16, 2018 to Oct 8, 2018factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Nov 23, 2016 to May 31, 2017factForm ADV

Dated events

Occurred
Feb 6, 2025
Advisor changed firm
Kathy S Dyer left Morgan Stanley for Rockefeller Capital Management (registered 2025-01-24)
Form ADVobserved 5 days ago