DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
John Helme Dunn
Feed of 09/14/2026
Also filed as J D Dunn
At current firm
2 y
since Dec 21, 2023
In the industry
19 y
since Nov 16, 2006 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Dec 21, 2023 · Greenwich, Ct
- Carret Asset Management, LLC mixed wealthJul 6, 2021 to Aug 3, 2023 · New York, Ny
- Ingalls Investment Management, LLC independent RIAJan 15, 2015 to Jan 9, 2018 · New York, Ny
- B. C. Ziegler And Company formerJul 28, 2011 to Jun 23, 2014 · New York, Ny
- Fiduciary Asset Management LLC formerApr 20, 2010 to Jul 25, 2011 · Clayton, Mo
- J.P. Morgan Securities LLC wirehouseOct 1, 2008 to Feb 12, 2010 · New York, Ny
- J.P. Morgan Securities Inc. unclassifiedOct 4, 2007 to Oct 1, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Carret Asset Management, LLC to J.P. Morgan Securities LLCleft Aug 3, 2023, registered Dec 21, 2023 (140 days) · RIA to wirehouse
- Ingalls Investment Management, LLC to Carret Asset Management, LLCleft Jan 9, 2018, registered Jul 6, 2021 (1274 days) · RIA to RIA
- B. C. Ziegler And Company to Ingalls Investment Management, LLCleft Jun 23, 2014, registered Jan 15, 2015 (206 days) · Other
- Fiduciary Asset Management LLC to B. C. Ziegler And Companyleft Jul 25, 2011, registered Jul 28, 2011 (3 days) · Other
- J.P. Morgan Securities LLC to Fiduciary Asset Management LLCleft Feb 12, 2010, registered Apr 20, 2010 (67 days) · Other
- J.P. Morgan Securities Inc. to J.P. Morgan Securities LLCleft Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
Signals
- John Helme Dunn left Carret Asset Management, Llc for J.P. Morgan Securities Llc (registered 2023-12-21)Aug 3, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address