DFX Intelligence

Data Factory

RIA / WealthAdvisor28 years in industry

JOHN DENIS DUFFY

Advisor at INTENT ADVICE, INC.

YARMOUTH, ME

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:98e97114-4993-c635-c898-39037e848cd4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 22, 2002 to Sep 14, 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: INTENT ADVICE, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 3, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 3, 1997
First registration: Aug 22, 2002
Dual registered: no
Other names: John D. Duffy|John Duffy
IAPD individual key: 2715123

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
INTENT ADVICE, INC.	State registered	Apr 25, 2024	n/a	yes	YARMOUTH, ME	Current employment
INTENT ADVICE, INC.	State registered	Sep 23, 2022	Dec 31, 2023	no	YARMOUTH, ME	Previous registration
BROAD COVE CAPITAL	Former SEC adviser	Sep 10, 2019	Nov 10, 2021	no	CUMBERLAND FORESIDE, ME	Previous registration
CRIBSTONE CAPITAL MANAGEMENT, LLC	Former SEC adviser	May 7, 2015	Aug 15, 2019	no	CUMBERLAND FORESIDE, ME\|BRUNSWICK, ME	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 10, 2008	May 14, 2015	no	CUMBERLAND FORESIDE, ME\|SAN DIEGO, CA\|CUMBERLAND FORESIDE, ME	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Oct 30, 2008	no	PORTLAND, ME	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 22, 2002	Jan 1, 2008	no	PORTLAND, ME\|ST. LOUIS, MO\|PORTLAND, ME	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
BROAD COVE CAPITAL	INTENT ADVICE, INC.	Nov 10, 2021	Sep 23, 2022	317	Firm change	RIA to state RIA
CRIBSTONE CAPITAL MANAGEMENT, LLC	BROAD COVE CAPITAL	Aug 15, 2019	Sep 10, 2019	26	Firm change	RIA to new firm
LPL FINANCIAL LLC	CRIBSTONE CAPITAL MANAGEMENT, LLC	May 14, 2015	May 7, 2015	-7	Firm change	Other
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Oct 30, 2008	Oct 10, 2008	-20	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
6413:174974:ME:2015-05-14	May 14, 2015	May 7, 2015	CUMBERLAND FORESIDE, ME	Firm change

Relationships

Registered with (6)

→ INTENT ADVICE, INC.Registered adviserregistration: previous registration
Sep 23, 2022 to Dec 31, 2023factForm ADV
→ BROAD COVE CAPITALRegistered adviserregistration: previous registration
Sep 10, 2019 to Nov 10, 2021factForm ADV
→ CRIBSTONE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 7, 2015 to Aug 15, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 10, 2008 to May 14, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Oct 30, 2008factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 22, 2002 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.