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 M Spratt

LPL Financial LLCBD affiliatedLatham, Ny dual registrantIAPD 2508402
Feed of 09/14/2026
Also filed as Katherine Marie Spratt-Dietz
At current firm
0 y
since Mar 24, 2026
In the industry
25 y
since Jan 27, 2001 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Katherine M Spratt left Janney Montgomery Scott Llc for Lpl Financial Llc (registered 2026-03-24)
    Jan 28, 2026 · Advisor changed firm · fact
  • Katherine M Spratt left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Janney Montgomery Scott Llc (registered 2025-04-15)
    Apr 16, 2025 · 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
25derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address