Kathleen D. Osborne-davis

CAPITAL ASSET MANAGEMENT

Baton Rouge, LA

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CRD#: 2277081

Professional summary

Kathleen Diane Osborne-davis, who also goes by Kathy Davis, Kathleen Diane Osborne, Kathy Osborne, is a registered financial advisor currently at CAPITAL ASSET MANAGEMENT, LLC located in Baton Rouge, Louisiana and CETERA ADVISORS LLC located in Baton Rouge, Louisiana.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kathleen has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Davis | Kathleen Diane Osborne | Kathy Osborne

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) TRI DELTA SOORITY; VOLUNTEER; OTHER; START DATE: 05/31/2019; 8 HOURS PER MONTH. 2) CAPITAL ASSET MANAGEMENT, LLC; ADVISOR; REGISTERED INVESTMENT ADVISOR; START DATE: 05/22/2019; 160 HOURS PER MONTH. 3) HARRIET H OSBORNE; POA; FIDUCIARY POSITION; START DATE: 01/01/2007; 8 HOURS PER MONTH. 4) OSBORNE FAMILY LLC; GENERAL PARTNER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 01/01/2007; 8 HOURS PER MONTH. 5) OSBORNE LIMITED FAMILY PARTNERSHIP LLC; GENERAL PARTNER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 01/01/2007; 4 HOURS PER MONTH. 6) REO RESIDUARY TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE: 01/01/2006; 4 HOURS PER MONTH. 7) KOD WEALTH MANAGEMENT LLC; SOLE PROPRIETOR; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 05/01/2020; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Diane Osborne-davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 24, 2019 - Present

CAPITAL ASSET MANAGEMENT, LLC

RIA

CRD#: 284505

Baton Rouge, LA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

CRD#: 10299

Baton Rouge, LA

Past

June 5, 2019 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Baton Rouge, LA

Past

July 10, 2003 - March 7, 2018

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

BATON ROUGE, LA

Past

April 5, 1999 - March 7, 2018

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BATON ROUGE, LA

Past

October 13, 1992 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL ASSET MANAGEMENT, LLC

CAPITAL ASSET MANAGEMENT, LLC | INTEGRATED FINANCIAL ARCHITECTS, LLC

CRD#: 284505 / SEC#: 801-123577

RIA

Registered Investment Advisory firm - (4/5/2022 Approved)

Colorado

Registered Investment Advisory firm - (4/12/2022 Terminated)

Idaho

Registered Investment Advisory firm - (12/3/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/8/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Louisiana
(6/24/2019)

Louisiana
(9/8/2022)

Texas
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/26/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/2/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL ASSET MANAGEMENT, LLC

CAPITAL ASSET MANAGEMENT, LLC | INTEGRATED FINANCIAL ARCHITECTS, LLC

CRD#: 284505 / SEC#: 801-123577

RIA

Registered Investment Advisory firm - (4/5/2022 Approved)

Colorado

Registered Investment Advisory firm - (4/12/2022 Terminated)

Idaho

Registered Investment Advisory firm - (12/3/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/8/2022 Terminated)

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Contact information

Main Address

1800 Glenarm Place Suite 703, Denver, CO 80202

Mailing Address

Phone number

(303) 832-7770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ASSET MGMT - FORM ADV PART 2A BROCHURE - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	369
AUM (Assets Under Management)	$ 189,564,727

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kathleen D. Osborne-davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Diane Osborne-davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

CAPITAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2007

Series 63

Date: 3/2/1999

SIE

Date: 3/7/2018

Series 7

Date: 5/29/2002

Series 6

Date: 10/9/1992

FINRA

Current Firm

CAPITAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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