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 Jane Phillips
Certified Financial Planner
Feed of 09/14/2026
Also filed as Katherine Jane Cogdill
At current firm
1 y
since Jan 24, 2025
In the industry
14 y
since Mar 26, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jan 24, 2025 · Midway, Ut
- Osaic Fa, Inc. formerDec 7, 2020 to Jan 24, 2025 · Kirkland, Wa
- Confluence Wealth Management LLC formerAug 9, 2019 to Dec 23, 2020 · Portland, Or
- Wells Fargo Advisors wirehouseMay 13, 2014 to Apr 3, 2019 · Vancouver, Wa
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 24, 2012 to Jan 10, 2014 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- Osaic Fa, Inc. to Osaic Wealth, Inc.left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- Confluence Wealth Management LLC to Osaic Fa, Inc.left Dec 23, 2020, registered Dec 7, 2020 (-16 days) · RIA to affiliated broker-dealer or bank
- Wells Fargo Advisors to Confluence Wealth Management LLCleft Apr 3, 2019, registered Aug 9, 2019 (128 days) · Wirehouse to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisorsleft Jan 10, 2014, registered May 13, 2014 (123 days) · Wirehouse to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address