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
Catherine Mary Arnet-Valega
Feed of 09/14/2026
Also filed as Catherine Mary Valega
At current firm
6 y
since Oct 30, 2019
In the industry
34 y
since Jun 23, 1992 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Oct 30, 2019 · Winchester, Ma
- Bay Financial Advisors, Inc. unclassifiedMar 19, 2020 to Dec 31, 2020 · Waltham, Ma
- Lion Street Advisors, LLC formerDec 14, 2018 to Oct 30, 2019 · Newton, Ma
- LPL Financial LLC BD affiliatedMay 15, 2017 to Dec 4, 2018 · Arlington, Ma
- Td Private Client Wealth LLC BD affiliatedFeb 29, 2016 to Mar 28, 2017 · Boston, Ma
- Winslow, Evans & Crocker, Inc. formerMar 16, 2015 to Feb 5, 2016 · Boston, Ma
- Bay Financial Advisors, Inc. unclassifiedMar 10, 2014 to Apr 29, 2015 · Waltham, Ma
- LPL Financial LLC BD affiliatedJun 13, 2007 to Mar 30, 2015 · Winchester, Ma
- Amundi Asset Management US, Inc. formerMar 27, 2003 to Oct 27, 2005 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Bay Financial Advisors, Inc. to no registered destinationleft Dec 31, 2020 · Departure, no registered destination
- Lion Street Advisors, LLC to LPL Financial LLCleft Oct 30, 2019, registered Oct 30, 2019 (0 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Lion Street Advisors, LLCleft Dec 4, 2018, registered Dec 14, 2018 (10 days) · RIA to affiliated broker-dealer or bank
- Td Private Client Wealth LLC to LPL Financial LLCleft Mar 28, 2017, registered May 15, 2017 (48 days) · Other
- Winslow, Evans & Crocker, Inc. to Td Private Client Wealth LLCleft Feb 5, 2016, registered Feb 29, 2016 (24 days) · Other
- Bay Financial Advisors, Inc. to Winslow, Evans & Crocker, Inc.left Apr 29, 2015, registered Mar 16, 2015 (-44 days) · Other
- LPL Financial LLC to Bay Financial Advisors, Inc.left Mar 30, 2015, registered Mar 10, 2014 (-385 days) · Other
- Amundi Asset Management US, Inc. to LPL Financial LLCleft Oct 27, 2005, registered Jun 13, 2007 (594 days) · Other
Signals
No dated event on this person.
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address