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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••• C•••

M•••• F•••••••• A•••••••BD affiliatedFernandina Beach, Fl dual registrantIAPD 2673142

Feed of 09/14/2026

Also filed as John Charles Cote

At current firm

2 y

since Mar 27, 2024

In the industry

30 y

since Nov 22, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••• F•••••••• A••••••• BD affiliated current
since Mar 27, 2024 · Fernandina Beach, Fl
W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated
Feb 27, 2020 to Mar 15, 2024 · Atlanta, Ga
E•••••• C•••••• M••••••••• L•• former
Mar 7, 2016 to Dec 6, 2019 · Alpharetta, Ga
R•••••• J•••• • A••••••••• I••• national BD
Aug 3, 2015 to Feb 9, 2016 · Atlanta, Ga
S••••••• I••••••••• S•••••••• I••• former
May 27, 2011 to Jun 16, 2015 · Atlanta, Ga
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Jun 9, 2011 · Minneapolis, Mn
W•••• F•••• I••••••••• L•• unclassified
Mar 5, 2008 to Jan 3, 2011 · Minneapolis, Mn
M••••• S•••••• • C•• L•• unclassified
Jan 24, 2008 to Feb 26, 2008 · Bloomington, Mn
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Nov 1, 2007 · Alpharetta, Ga
M••••• S•••••• D• I••• unclassified
Jan 20, 2005 to Apr 2, 2007 · Alpharetta, Ga

Moves

a registration end followed by a registration begin elsewhere

W••••• E••••••••• A••••••• S•••••••• L•• to M•••• F•••••••• A•••••••
left Mar 15, 2024, registered Mar 27, 2024 (12 days) · RIA to RIA
E•••••• C•••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left Dec 6, 2019, registered Feb 27, 2020 (83 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• • A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Feb 9, 2016, registered Mar 7, 2016 (27 days) · Other
S••••••• I••••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Jun 16, 2015, registered Aug 3, 2015 (48 days) · Other
W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••
left Jun 9, 2011, registered May 27, 2011 (-13 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
M••••• S•••••• • C•• L•• to W•••• F•••• I••••••••• L••
left Feb 26, 2008, registered Mar 5, 2008 (8 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

J••• C••• left W••••• E••••••••• A••••••• S•••••••• L•• for M•••• F•••••••• A••••••• (registered 2024-03-27)
Mar 15, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address