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
Catherine Elise Bock
Certified Financial Planner
Feed of 09/14/2026
Also filed as Catherine Elise Leggett
At current firm
10 y
since Apr 7, 2016
In the industry
15 y
since Jan 10, 2011 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Sei Investments Management Corp mixed wealth currentsince Apr 7, 2016 · Oaks, Pa
- Hirtle & Co., LLC otherJun 12, 2012 to Mar 30, 2016 · West Conshohocken, Pa
- New England Securities Corporation formerOct 20, 2011 to Jun 6, 2012 · Newtown Square, Pa
- Voya Financial Advisors, Inc. BD affiliatedMar 3, 2011 to Jun 9, 2011 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- Hirtle & Co., LLC to Sei Investments Management Corpleft Mar 30, 2016, registered Apr 7, 2016 (8 days) · Other
- New England Securities Corporation to Hirtle & Co., LLCleft Jun 6, 2012, registered Jun 12, 2012 (6 days) · Other
- Voya Financial Advisors, Inc. to New England Securities Corporationleft Jun 9, 2011, registered Oct 20, 2011 (133 days) · Other
Signals
No dated event on this person.
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address