Kathryn D. Estes

SCOTIA PARTNERS

Spring City, PA

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CRD#: 6312514

Professional summary

Kathryn Dewalt Estes, who also goes by Kathryn Dewalt, Kathryn D Estes, is a registered financial advisor currently at SCOTIA PARTNERS, LLC located in Spring City, Pennsylvania.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Kathryn has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathryn Dewalt | Kathryn D Estes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Dewalt Estes's 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

December 2, 2025 - Present

SCOTIA PARTNERS, LLC

RIA

CRD#: 140568

Spring City, PA

Past

January 5, 2016 - May 16, 2019

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Exton, PA

Past

May 13, 2014 - November 29, 2017

SCOTIA PARTNERS, LLC

RIA

CRD#: 140568

SPRING CITY, PA

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(12/2/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/2/2025

Uniform Investment Adviser Law Examination

Current Firm

SCOTIA PARTNERS, LLC

SCOTIA PARTNERS, LLC | SCOTIA PARTNERS, LTD.

CRD#: 140568 / SEC#: 801-69997

RIA

Registered Investment Advisory firm - (2/21/2018 Terminated)

California

Registered Investment Advisory firm - (12/31/2019 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2018 Approved)

Texas

Registered Investment Advisory firm - (12/31/2019 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).

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Contact information

Main Address

Spring City, PA

Mailing Address

Phone number

(484) 932-8560

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 73,663,632

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.

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Kathryn D. Estes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Dewalt Estes's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTIA PARTNERS, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SCOTIA PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2025

Current Firm

SCOTIA PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCOTIA PARTNERS, LLC

TRUST BUT VERIFY

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