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

Kathryn Leeper Hooper

Osaic Institutions, Inc.BD affiliatedDes Moines, Iadual registrantIAPD 3099687

Feed of 09/14/2026

Also filed as Kathryn Lea Leeper

At current firm

1 y

since Jan 13, 2025

In the industry

27 y

since Jan 20, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Institutions, Inc. BD affiliated current
since Jan 13, 2025 · Des Moines, Ia
Sorrento Pacific Financial, LLC former
Dec 15, 2017 to Jan 10, 2025 · Des Moines, Ia
Invest Financial Corporation former
May 25, 2017 to Dec 15, 2017 · Des Moines, Ia
Investment Advisors Corp former
Nov 10, 2011 to Apr 25, 2016 · West Des Moines, Ia
Wells Fargo Advisors wirehouse
Jan 3, 2011 to Oct 5, 2011 · Clive, Ia
Wells Fargo Investments, LLC unclassified
Aug 5, 2010 to Jan 3, 2011 · Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

Sorrento Pacific Financial, LLC to Osaic Institutions, Inc.
left Jan 10, 2025, registered Jan 13, 2025 (3 days) · Affiliated broker-dealer or bank to another
Invest Financial Corporation to Sorrento Pacific Financial, LLC
left Dec 15, 2017, registered Dec 15, 2017 (0 days) · Other · moved with a team
Investment Advisors Corp to Invest Financial Corporation
left Apr 25, 2016, registered May 25, 2017 (395 days) · Other
Wells Fargo Advisors to Investment Advisors Corp
left Oct 5, 2011, registered Nov 10, 2011 (36 days) · Other
Wells Fargo Investments, LLC to Wells Fargo Advisors
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

Kathryn Leeper Hooper left Sorrento Pacific Financial, Llc for Osaic Institutions, Inc. (registered 2025-01-13)
Jan 10, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address