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 Brendan Castelot
Feed of 09/15/2026
Also filed as John B Castelot
At current firm
19 y
since Jul 27, 2007
In the industry
33 y
since Sep 1, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Northeast Planning Associates, Inc. independent RIA currentsince Jan 6, 2012 · Fairhaven, Ma
- LPL Financial LLC BD affiliated currentsince Jul 27, 2007 · Fairhaven, Ma
- Mutual Service Corporation unclassifiedNov 19, 2003 to Sep 29, 2004 · Manchester, Nh
- Veravest Investment Advisors, Inc. unclassifiedJul 24, 2002 to Nov 13, 2003 · Bedford, Nh
- Sunamerica Securities, Inc. unclassifiedAug 30, 2000 to May 23, 2002 · Manchester, Nh
Moves
a registration end followed by a registration begin elsewhere
- Mutual Service Corporation to LPL Financial LLCleft Sep 29, 2004, registered Jul 27, 2007 (1031 days) · Other
- Veravest Investment Advisors, Inc. to Mutual Service Corporationleft Nov 13, 2003, registered Nov 19, 2003 (6 days) · Other
- Sunamerica Securities, Inc. to Veravest Investment Advisors, Inc.left May 23, 2002, registered Jul 24, 2002 (62 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