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
Kathleen Christine Laverde
Feed of 09/14/2026
Also filed as Kathy Christine Nicosia
At current firm
1 y
since Jul 7, 2025
In the industry
30 y
since Jul 11, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Horan Wealth, LLC independent RIA currentsince Jul 7, 2025 · Cincinnati, Oh
- Horan Wealth Management formerJan 8, 2025 to Jul 7, 2025 · Cincinnati, Oh
- Ameriprise Financial Services, LLC national BDNov 5, 2017 to Jan 13, 2025 · Cincinnati, Oh
- LPL Financial LLC BD affiliatedJun 24, 2005 to Sep 19, 2006 · Los Alamitos, Ca
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerSep 29, 2004 to Jun 27, 2005 · Torrance, Ca
- Citicorp Investment Services unclassifiedApr 28, 2004 to Jul 7, 2004 · Lakewood, Ca
Moves
a registration end followed by a registration begin elsewhere
- Horan Wealth Management to Horan Wealth, LLCleft Jul 7, 2025, registered Jul 7, 2025 (0 days) · channel change inside one enterprise, not a move · moved with a team
- Ameriprise Financial Services, LLC to Horan Wealth Managementleft Jan 13, 2025, registered Jan 8, 2025 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- LPL Financial LLC to Ameriprise Financial Services, LLCleft Sep 19, 2006, registered Nov 5, 2017 (4065 days) · Other
- National Planning Corporation ("Npc Of America" In Fl & Ny) to LPL Financial LLCleft Jun 27, 2005, registered Jun 24, 2005 (-3 days) · Other
- Citicorp Investment Services to National Planning Corporation ("Npc Of America" In Fl & Ny)left Jul 7, 2004, registered Sep 29, 2004 (84 days) · Other
Signals
- Kathleen Christine Laverde left Ameriprise Financial Services, Llc for Horan Wealth Management (registered 2025-01-08)Jan 13, 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address