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

Mary Kathleen Flaherty

Prospera Financial Services, Inc.BD affiliatedDallas, Tx IA-onlyIAPD 6000866

Certified Financial Planner

Feed of 09/15/2026

Also filed as Mary Kate Flaherty

At current firm

0 y

since Aug 13, 2026

In the industry

14 y

since Nov 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Prospera Financial Services, Inc. BD affiliated current
since Aug 13, 2026 · Sunrise Beach, Mo
World Investment Advisors, LLC other
Jun 25, 2025 to Aug 11, 2026 · Columbus, Oh
Mkf Private Wealth Management unclassified
Apr 15, 2025 to Jun 16, 2025 · Denver, Co
Focused Alpha, LLC independent RIA
Apr 25, 2022 to Mar 20, 2025 · Greenwood Village, Co
Charles Schwab & Co., Inc. national BD
Mar 21, 2014 to Jun 21, 2021 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

World Investment Advisors, LLC to Prospera Financial Services, Inc.
left Aug 11, 2026, registered Aug 13, 2026 (2 days) · Other
Mkf Private Wealth Management to World Investment Advisors, LLC
left Jun 16, 2025, registered Jun 25, 2025 (9 days) · Other
Focused Alpha, LLC to Mkf Private Wealth Management
left Mar 20, 2025, registered Apr 15, 2025 (26 days) · Other
Charles Schwab & Co., Inc. to Focused Alpha, LLC
left Jun 21, 2021, registered Apr 25, 2022 (308 days) · Affiliated broker-dealer or bank to independent RIA

Signals

Mary Kathleen Flaherty left World Investment Advisors, Llc for Prospera Financial Services, Inc. (registered 2026-08-13)
Aug 11, 2026 · Advisor changed firm · fact
Mary Kathleen Flaherty left Mkf Private Wealth Management for World Investment Advisors, Llc (registered 2025-06-25)
Jun 16, 2025 · Advisor changed firm · fact
Mary Kathleen Flaherty left Focused Alpha, Llc for Mkf Private Wealth Management (registered 2025-04-15)
Mar 20, 2025 · 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: 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