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
James Cahill Gavin
Feed of 09/14/2026
Also filed as James Gavin
At current firm
10 y
since Jul 5, 2016
In the industry
32 y
since Aug 22, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Bankers Life Advisory Services, Inc. BD affiliated currentsince Jul 5, 2016 · Scarborough, Me
- Concourse Financial Group Advisors formerJun 24, 2010 to May 27, 2016 · Scarborough, Me
- Uvest Financial Services Group, Inc. unclassifiedMay 14, 2009 to May 21, 2010 · Amesbury, Ma
- Waddell & Reed formerOct 14, 2005 to Apr 22, 2009 · Portsmouth, Nh
- MML Investors Services, LLC BD affiliatedJun 1, 2005 to Sep 16, 2005 · York, Me
- Msi Financial Services, Inc. formerFeb 4, 2003 to Jun 4, 2003 · Exeter, Nh
Moves
a registration end followed by a registration begin elsewhere
- Concourse Financial Group Advisors to Bankers Life Advisory Services, Inc.left May 27, 2016, registered Jul 5, 2016 (39 days) · corporate re-registration, not a move
- Uvest Financial Services Group, Inc. to Concourse Financial Group Advisorsleft May 21, 2010, registered Jun 24, 2010 (34 days) · Other
- Waddell & Reed to Uvest Financial Services Group, Inc.left Apr 22, 2009, registered May 14, 2009 (22 days) · Other
- MML Investors Services, LLC to Waddell & Reedleft Sep 16, 2005, registered Oct 14, 2005 (28 days) · Other
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Jun 4, 2003, registered Jun 1, 2005 (728 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address