DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Katherine Ramirez

Empower Advisory Group, LLCBD affiliatedOmaha, Ne dual registrantIAPD 1163492

Feed of 09/15/2026

Also filed as Katherine A Cooley

At current firm

3 y

since Aug 1, 2023

In the industry

19 y

since Nov 17, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Empower Advisory Group, LLC BD affiliated current
since Aug 1, 2023 · Omaha, Ne
Bancwest Investment Services, Inc. (Bwis) former
Sep 13, 2021 to Apr 28, 2022 · Omaha, Ne
Bancwest Investment Services, Inc. (Bwis) former
Jul 19, 2019 to Jan 22, 2021 · Tempe, Az
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 14, 2011 to Jul 5, 2019 · Chandler, Az
Charles Schwab & Co., Inc. national BD
Mar 18, 2008 to Oct 24, 2011 · Phoenix, Az
Edward Jones national BD
Oct 1, 2007 to Jan 22, 2008 · Paradise Valley, Az

Moves

a registration end followed by a registration begin elsewhere

Bancwest Investment Services, Inc. (Bwis) to Empower Advisory Group, LLC
left Apr 28, 2022, registered Aug 1, 2023 (460 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Bancwest Investment Services, Inc. (Bwis)
left Jul 5, 2019, registered Jul 19, 2019 (14 days) · Wirehouse to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 24, 2011, registered Nov 14, 2011 (21 days) · Affiliated broker-dealer or bank to wirehouse
Edward Jones to Charles Schwab & Co., Inc.
left Jan 22, 2008, registered Mar 18, 2008 (56 days) · Affiliated broker-dealer or bank to another

Signals

Katherine Ramirez left Bancwest Investment Services, Inc. (Bwis) for Empower Advisory Group, Llc (registered 2023-08-01)
Apr 28, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address