DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

John Patrick Rafferty

Advisor at CORECAP ADVISORS

Carmel, IN | SOUTHFIELD, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:704ca931-060d-aa0d-9d11-aea26b822ca2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Current firm: CORECAP ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 8, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 8
Exams: S63|S65
First exam: Mar 8, 1996
First registration: Jan 2, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2720423

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
CORECAP ADVISORS	Bd affiliated wealth	Aug 11, 2021	n/a	yes	Carmel, IN\|SOUTHFIELD, MI	Current employment
ON INVESTMENT MANAGEMENT CO	Bd affiliated wealth	Aug 31, 2017	Aug 6, 2021	no	Carmel, IN	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Mar 16, 2006	Sep 11, 2017	no	INDIANAPOLIS, IN	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Sep 29, 2003	Mar 6, 2006	no	INDIANAPOLIS, IN	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Jan 2, 2001	Sep 10, 2003	no	INDIANAPOLIS, IN	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
ON INVESTMENT MANAGEMENT CO	CORECAP ADVISORS	Aug 6, 2021	Aug 11, 2021	5	Firm change	Ibd to ibd
PARK AVENUE SECURITIES LLC	ON INVESTMENT MANAGEMENT CO	Sep 11, 2017	Aug 31, 2017	-11	Firm change	Other
ESI FINANCIAL ADVISORS	PARK AVENUE SECURITIES LLC	Mar 6, 2006	Mar 16, 2006	10	Firm change	Other
PARK AVENUE SECURITIES LLC	ESI FINANCIAL ADVISORS	Sep 10, 2003	Sep 29, 2003	19	Firm change	Other

Relationships

Registered with (4)

→ CORECAP ADVISORSRegistered adviserregistration: current employment
Aug 11, 2021 to presentfactForm ADV
→ ON INVESTMENT MANAGEMENT CORegistered adviserregistration: previous registration
Aug 31, 2017 to Aug 6, 2021factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Mar 16, 2006 to Sep 11, 2017factForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Sep 29, 2003 to Mar 6, 2006factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 14, 2026
John Patrick Rafferty added a CA registration at Corecap Advisors