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 Denis Duffy
Feed of 09/14/2026
Also filed as John D. Duffy
At current firm
2 y
since Apr 25, 2024
In the industry
28 y
since Oct 3, 1997 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Intent Advice, Inc. state registered currentsince Apr 25, 2024 · Yarmouth, Me
- Intent Advice, Inc. state registeredSep 23, 2022 to Dec 31, 2023 · Yarmouth, Me
- Broad Cove Capital formerSep 10, 2019 to Nov 10, 2021 · Cumberland Foreside, Me
- Cribstone Capital Management, LLC formerMay 7, 2015 to Aug 15, 2019 · Cumberland Foreside, Me
- LPL Financial LLC BD affiliatedOct 10, 2008 to May 14, 2015 · Cumberland Foreside, Me
- Wells Fargo Advisors wirehouseJan 1, 2008 to Oct 30, 2008 · Portland, Me
- A. G. Edwards & Sons, Inc. unclassifiedAug 22, 2002 to Jan 1, 2008 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- Broad Cove Capital to Intent Advice, Inc.left Nov 10, 2021, registered Sep 23, 2022 (317 days) · RIA to a state-registered adviser
- Cribstone Capital Management, LLC to Broad Cove Capitalleft Aug 15, 2019, registered Sep 10, 2019 (26 days) · RIA to a newly registered adviser
- LPL Financial LLC to Cribstone Capital Management, LLCleft May 14, 2015, registered May 7, 2015 (-7 days) · Other · moved with a team
- Wells Fargo Advisors to LPL Financial LLCleft Oct 30, 2008, registered Oct 10, 2008 (-20 days) · Other
- A. G. Edwards & Sons, Inc. to Wells Fargo Advisorsleft Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address