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 Schwartz

Centaurus Financial, Inc.BD affiliatedScottsdale, Az dual registrantIAPD 4142614

Feed of 09/15/2026

Also filed as Katherine Coleman Bugbee

At current firm

0 y

since Mar 3, 2026

In the industry

10 y

since Mar 1, 2016 (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

Centaurus Financial, Inc. BD affiliated current
since Mar 3, 2026 · Scottsdale, Az
Colomb Investment Management Company, LLC independent RIA
Jun 27, 2024 to Mar 13, 2026 · Metairie, La
LPL Financial LLC BD affiliated
Nov 7, 2023 to Mar 14, 2024 · Peoria, Az
Morgan Stanley wirehouse
Aug 18, 2021 to Feb 3, 2022 · Phoenix, Az
Vanguard Advisers, Inc. BD affiliated
Dec 2, 2019 to Dec 11, 2019 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

Colomb Investment Management Company, LLC to Centaurus Financial, Inc.
left Mar 13, 2026, registered Mar 3, 2026 (-10 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Colomb Investment Management Company, LLC
left Mar 14, 2024, registered Jun 27, 2024 (105 days) · Affiliated broker-dealer or bank to independent RIA
Morgan Stanley to LPL Financial LLC
left Feb 3, 2022, registered Nov 7, 2023 (642 days) · Wirehouse to affiliated broker-dealer or bank
Vanguard Advisers, Inc. to Morgan Stanley
left Dec 11, 2019, registered Aug 18, 2021 (616 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Katherine Schwartz left Colomb Investment Management Company, Llc for Centaurus Financial, Inc. (registered 2026-03-03)
Mar 13, 2026 · Advisor changed firm · fact
Katherine Schwartz left Lpl Financial Llc for Colomb Investment Management Company, Llc (registered 2024-06-27)
Mar 14, 2024 · Advisor changed firm · fact
Katherine Schwartz left Morgan Stanley for Lpl Financial Llc (registered 2023-11-07)
Feb 3, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address