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RIA / WealthAdvisorCertified Financial Planner29 years in industry

JOHN FREDERICK DESIMONE

Advisor at PEDDOCK CAPITAL ADVISORS, LLC

BRAINTREE, MA

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Search this name across graphsid dfx:ria:122270ef-71ec-d775-7b9f-a9cde7756de0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Apr 26, 2002 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

John Frederick Desimone

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PEDDOCK CAPITAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 9, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Oct 9, 1996
First registration: Apr 26, 2002
Dual registered: no
IAPD individual key: 2301047

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PEDDOCK CAPITAL ADVISORS, LLC	Independent wealth	Jan 22, 2021	n/a	yes	BRAINTREE, MA	Current employment
DAKOTA WEALTH, LLC	Independent wealth	Oct 10, 2018	Jan 18, 2021	no	PEABODY, MA\|PALM BEACH GARDENS, FL	Previous registration
DAKOTA WEALTH, LLC	Former SEC adviser	Jan 31, 2007	Mar 25, 2019	no	PALM BEACH GARDENS, FL\|Peabody, MA	Previous registration
CASTLEGUARD WEALTH MANAGEMENT, LTD	n/a	Apr 2, 2004	Dec 31, 2006	no	BEVERLY, MA	Previous registration
AVANTAX ADVISORY SERVICES	Former SEC adviser	Apr 24, 2003	Apr 26, 2004	no	BEVERLY, MA	Previous registration
ERNST & YOUNG INVESTMENT ADVISERS LLP	No RAUM reported	Apr 26, 2002	Apr 4, 2003	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DAKOTA WEALTH, LLC	PEDDOCK CAPITAL ADVISORS, LLC	Jan 18, 2021	Jan 22, 2021	4	Firm change	RIA to RIA
DAKOTA WEALTH, LLC	DAKOTA WEALTH, LLC	Mar 25, 2019	Oct 10, 2018	-166	Channel change	RIA to RIA
CASTLEGUARD WEALTH MANAGEMENT, LTD	DAKOTA WEALTH, LLC	Dec 31, 2006	Jan 31, 2007	31	Firm change	Other
AVANTAX ADVISORY SERVICES	CASTLEGUARD WEALTH MANAGEMENT, LTD	Apr 26, 2004	Apr 2, 2004	-24	Firm change	Other
ERNST & YOUNG INVESTMENT ADVISERS LLP	AVANTAX ADVISORY SERVICES	Apr 4, 2003	Apr 24, 2003	20	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
141137:297987:MA:2019-03-25	Mar 25, 2019	Oct 10, 2018	PEABODY, MA	Firm change after gap

Relationships

Registered with (6)

→ PEDDOCK CAPITAL ADVISORS, LLCRegistered adviserregistration: current employment
Jan 22, 2021 to presentfactForm ADV
→ DAKOTA WEALTH, LLCRegistered adviserregistration: previous registration
Oct 10, 2018 to Jan 18, 2021factForm ADV
→ DAKOTA WEALTH, LLCRegistered adviserregistration: previous registration
Jan 31, 2007 to Mar 25, 2019factForm ADV
→ CASTLEGUARD WEALTH MANAGEMENT, LTDRegistered adviserregistration: previous registration
Apr 2, 2004 to Dec 31, 2006factForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Apr 24, 2003 to Apr 26, 2004factForm ADV
→ ERNST & YOUNG INVESTMENT ADVISERS LLPRegistered adviserregistration: previous registration
Apr 26, 2002 to Apr 4, 2003factForm ADV

Dated events

No dated event names this entity yet.