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
Courtney Leigh Cotter
Feed of 09/14/2026
Also filed as Courtney L Cotter
At current firm
3 y
since Apr 10, 2023
In the industry
15 y
since May 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Ameriprise Financial Services, LLC national BD currentsince Apr 10, 2023 · Edina, Mn
- The Oak Ridge Financial Services Group, Inc independent RIAMay 23, 2022 to Jan 25, 2023 · Golden Valley, Mn
- Ameriprise Financial Services, LLC national BDOct 10, 2018 to May 25, 2022 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- The Oak Ridge Financial Services Group, Inc to Ameriprise Financial Services, LLCleft Jan 25, 2023, registered Apr 10, 2023 (75 days) · Affiliated broker-dealer or bank to another
- Ameriprise Financial Services, LLC to The Oak Ridge Financial Services Group, Incleft May 25, 2022, registered May 23, 2022 (-2 days) · Affiliated broker-dealer or bank to another
Signals
- Courtney Leigh Cotter left The Oak Ridge Financial Services Group, Inc for Ameriprise Financial Services, Llc (registered 2023-04-10)Jan 25, 2023 · Advisor changed firm · fact
- Courtney Leigh Cotter left Ameriprise Financial Services, Llc for The Oak Ridge Financial Services Group, Inc (registered 2022-05-23)May 25, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address