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Kathryn Dunn

Director at Geode Capital Management

No current adviser or broker registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Kathryn Dunn is Director of Geode Capital Management, LLC, a Boston investment adviser managing $1.74T. Kathryn Dunn has passed the Series 27, SIE and Series 99TO.

Role at Geode Capital Management

Title on Schedule A
Director
Control
Kathryn Dunn is not a control person of Geode Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Kathryn Dunn has held the filed role since August 2024.

The firm

Geode Capital Management, LLC
Boston, MA

Form ADV filed 31 March 2026

$1.74T AUM165 clients37 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE and Series 99TO · 2023
  2. Passed Series 27 · 2013

Registrations and exams

No current adviser or broker registration. Kathryn Dunn has passed 3 qualifying exams.

Examinations

Series 2725 November 2013
Name
Financial and Operations Principal Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination
Series 99TO2 January 2023
Name
Operations Professional Examination

Individual record

Full name
Kathryn Ann Dunn
CRD
4652862
Firm
Geode Capital Management, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Kathryn Dunn work?

Kathryn Dunn has been Director of Geode Capital Management, LLC since August 2024.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Kathryn Dunn have a current investment-adviser registration?

Kathryn Dunn has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Kathryn Dunn passed?

Kathryn Dunn has passed 3 licensing exams: the Series 27, SIE and Series 99TO. The earliest, the Series 27, was passed in November 2013.

Source: IAPD individual record, checked 18 October 2026

Leadership at Geode Capital Management

  • Ronald Depoalo
    President and Chief Executive Officer
  • Sorin Codreanu
    Chief Financial Officer
  • Laura Doherty
    Chief Operating Officer
  • Michael Ciccone
    Chief Compliance Officer
  • Philip Bullen
    Director
  • Michael Even
    Director
  • Alok Kapoor
    Director
  • Gerard McGraw
    Director
  • Brad Moyer
    General Counsel
  • Thomas Sprague
    Director
  • Jennifer Uhrig
    Director

Sources

  1. IAPD individual record, CRD 4652862. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Geode Capital Management, LLC, filed 31 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Kathryn Dunn or Geode Capital Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.