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 A Dalton
Feed of 09/14/2026
Also filed as Kathleen Alissa Woolford
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Aug 29, 2006 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Dayton, Ky
- Fidelity Personal And Workplace Advisors formerSep 12, 2023 to Mar 31, 2025 · Covington, Ky
- Stancorp Investment Advisers, Inc. otherApr 5, 2022 to Jul 6, 2023 · Portland, Or
- Sheridan Road Advisors, LLC, A Hub International Company formerMar 17, 2021 to Feb 23, 2022 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Stancorp Investment Advisers, Inc. to Fidelity Personal And Workplace Advisorsleft Jul 6, 2023, registered Sep 12, 2023 (68 days) · RIA to affiliated broker-dealer or bank
- Sheridan Road Advisors, LLC, A Hub International Company to Stancorp Investment Advisers, Inc.left Feb 23, 2022, registered Apr 5, 2022 (41 days) · Other
Signals
- Kathleen A Dalton left Stancorp Investment Advisers, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-09-12)Jul 6, 2023 · Advisor changed firm · fact
- Kathleen A Dalton left Sheridan Road Advisors, Llc, A Hub International Company for Stancorp Investment Advisers, Inc. (registered 2022-04-05)Feb 23, 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address