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.
Feed of 09/14/2026
Also filed as John Robert Duffy
At current firm
7 y
since Dec 21, 2018
In the industry
20 y
since Jan 13, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
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
- Summit Financial, LLC BD affiliated currentsince Dec 21, 2018 · Parsippany, Nj
- Summit Equities Inc formerOct 10, 2017 to Dec 21, 2018 · Parsippany, Nj
- Summit Financial Resources Inc formerApr 17, 2015 to Sep 27, 2018 · Parsippany, Nj
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 12, 2014 to Feb 9, 2015 · Pennington, Nj
- New England Securities Corporation formerOct 20, 2008 to Oct 1, 2013 · Wall Township, Nj
Moves
a registration end followed by a registration begin elsewhere
- Summit Equities Inc to Summit Financial, LLCleft Dec 21, 2018, registered Dec 21, 2018 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Summit Financial Resources Inc to Summit Equities Incleft Sep 27, 2018, registered Oct 10, 2017 (-352 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Summit Financial Resources Incleft Feb 9, 2015, registered Apr 17, 2015 (67 days) · Other
- New England Securities Corporation to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 1, 2013, registered Mar 12, 2014 (162 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address