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 Thomas Elmes
Chartered Financial Analyst
Feed of 09/15/2026
At current firm
9 y
since Nov 2, 2016
In the industry
33 y
since Apr 20, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Pathstone independent RIA currentsince Nov 2, 2016 · Englewood, Nj
- Convergent Wealth Advisors, LLC formerJun 26, 2015 to Oct 31, 2016 · Potomac, Md
- Gfo Advisory Services, LLC asset managerNov 12, 2003 to Jan 18, 2013 · Greenwich, Ct
- Deutsche Bank Securities Inc. no RAUMMar 16, 2001 to Nov 21, 2002 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- Convergent Wealth Advisors, LLC to Pathstoneleft Oct 31, 2016, registered Nov 2, 2016 (2 days) · Other · moved with a team
- Gfo Advisory Services, LLC to Convergent Wealth Advisors, LLCleft Jan 18, 2013, registered Jun 26, 2015 (889 days) · Other
- Deutsche Bank Securities Inc. to Gfo Advisory Services, LLCleft Nov 21, 2002, registered Nov 12, 2003 (356 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address