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 Garofalo

UBS Financial Services Inc.wirehousePortland, Medual registrantIAPD 5933976

Feed of 09/14/2026

Also filed as John Garofalo

At current firm

1 y

since May 14, 2025

In the industry

13 y

since Jun 19, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

UBS Financial Services Inc. wirehouse current
since May 14, 2025 · Portland, Me
Maiden Cove Capital independent RIA
Mar 5, 2025 to Apr 28, 2025 · Santa Monica, Ca
Morgan Stanley wirehouse
Apr 13, 2023 to Apr 9, 2024 · Santa Monica, Ca
J.P. Morgan Private Wealth Advisors LLC former
Mar 3, 2023 to May 2, 2023 · Los Angeles, Ca
Morgan Stanley wirehouse
Nov 30, 2020 to Mar 27, 2023 · Santa Monica, Ca
Morgan Stanley wirehouse
Oct 22, 2013 to Sep 19, 2014 · Purchase, Ny
Wells Fargo Advisors wirehouse
Jul 2, 2013 to Sep 30, 2013 · Purchase, Ny

Moves

a registration end followed by a registration begin elsewhere

Maiden Cove Capital to UBS Financial Services Inc.
left Apr 28, 2025, registered May 14, 2025 (16 days) · RIA to wirehouse
Morgan Stanley to Maiden Cove Capital
left Apr 9, 2024, registered Mar 5, 2025 (330 days) · Wirehouse to independent RIA
J.P. Morgan Private Wealth Advisors LLC to Morgan Stanley
left May 2, 2023, registered Apr 13, 2023 (-19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Morgan Stanley to J.P. Morgan Private Wealth Advisors LLC
left Mar 27, 2023, registered Mar 3, 2023 (-24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Wells Fargo Advisors to Morgan Stanley
left Sep 30, 2013, registered Oct 22, 2013 (22 days) · Wirehouse to wirehouse

Signals

John Garofalo left Maiden Cove Capital for Ubs Financial Services Inc. (registered 2025-05-14)
Apr 28, 2025 · Advisor changed firm · fact
John Garofalo left Morgan Stanley for Maiden Cove Capital (registered 2025-03-05)
Apr 9, 2024 · Advisor changed firm · fact
John Garofalo left J.P. Morgan Private Wealth Advisors Llc for Morgan Stanley (registered 2023-04-13)
May 2, 2023 · Advisor changed firm · fact
John Garofalo left Morgan Stanley for J.P. Morgan Private Wealth Advisors Llc (registered 2023-03-03)
Mar 27, 2023 · 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address