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
Katelyn Whalen
Feed of 09/15/2026
Also filed as Katelyn E Whalen
At current firm
4 y
since Oct 19, 2021
In the industry
12 y
since Oct 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Wealthspire Retirement Advisory institutional currentsince Oct 19, 2021 · Charlotte, Nc
- Empower Advisory Group, LLC BD affiliatedJul 20, 2021 to Oct 4, 2021 · Greenwood Village, Co
- Ameritas Advisory Services formerFeb 12, 2020 to Jul 9, 2021 · Charlotte, Nc
- Sterling Capital Management LLC otherFeb 1, 2017 to Nov 7, 2019 · Charlotte, Nc
- Columbia Management Investment Advisers, LLC asset managerMar 4, 2014 to Dec 1, 2016 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Empower Advisory Group, LLC to Wealthspire Retirement Advisoryleft Oct 4, 2021, registered Oct 19, 2021 (15 days) · Other
- Ameritas Advisory Services to Empower Advisory Group, LLCleft Jul 9, 2021, registered Jul 20, 2021 (11 days) · Other
- Sterling Capital Management LLC to Ameritas Advisory Servicesleft Nov 7, 2019, registered Feb 12, 2020 (97 days) · Other
- Columbia Management Investment Advisers, LLC to Sterling Capital Management LLCleft Dec 1, 2016, registered Feb 1, 2017 (62 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
- Institutional managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address