Joseph Gauvin

STONEHEARTH CAPITAL MANAGEMENT

DANVERS, MA 01923

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CRD#: 6128554

Professional summary

Joseph Gauvin, CFP® is a registered financial advisor currently at STONEHEARTH CAPITAL MANAGEMENT located in Danvers, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joseph has worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gauvin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

June 16, 2022 - Present

STONEHEARTH CAPITAL MANAGEMENT

Office #1: 100 Conifer Hill Drive, Ste 105, Danvers, MA 01923

RIA

CRD#: 128866

DANVERS, MA

Past

January 25, 2022 - April 11, 2022

SANDY COVE ADVISORS, LLC

RIA

CRD#: 152482

HINGHAM, MA

Past

January 5, 2021 - January 19, 2022

GW & WADE ASSET MANAGEMENT COMPANY, LLC

CRD#: 25745

Needham, MA

Past

January 4, 2021 - January 19, 2022

GW & WADE, LLC

RIA

CRD#: 105394

WELLESLEY, MA

Past

June 26, 2015 - January 4, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NEEDHAM, MA

Past

January 8, 2015 - January 4, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NEEDHAM, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STONEHEARTH CAPITAL MANAGEMENT

PROUT FINANCIAL SERVICES | WEALTH MANAGEMENT GROUP LLC | STONEHEARTH CAPITAL MANAGEMENT LLC | STONEHEARTH CAPITAL MANAGEMENT | PROUT, RICHARD EDWARD

CRD#: 128866 / SEC#: 801-67868

RIA

Registered Investment Advisory firm - (5/4/2007 Approved)

Florida

Registered Investment Advisory firm - (5/14/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/31/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/14/2007 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/16/2022)

IAR

Texas
(8/5/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/18/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2024

General Securities Principal Examination

Current Firm

STONEHEARTH CAPITAL MANAGEMENT

PROUT FINANCIAL SERVICES | WEALTH MANAGEMENT GROUP LLC | STONEHEARTH CAPITAL MANAGEMENT LLC | STONEHEARTH CAPITAL MANAGEMENT | PROUT, RICHARD EDWARD

CRD#: 128866 / SEC#: 801-67868

RIA

Registered Investment Advisory firm - (5/4/2007 Approved)

Florida

Registered Investment Advisory firm - (5/14/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/31/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/14/2007 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2007 Terminated)

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Contact information

Main Address

100 Conifer Hill Drive, Ste 105, Danvers, MA 01923

Mailing Address

Phone number

(978) 624-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONEHEARTH CAPITAL MANAGEMENT ADV PART 2A (9/17/2025)

STONEHEARTH CAPITAL MANAGEMENT ADV PART 2A APPENDIX 1 (9/17/2025)

Regulatory assets under management

Total Number of Accounts	1,400
AUM (Assets Under Management)	$ 386,744,154

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Joseph Gauvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gauvin's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDY COVE ADVISORS, LLC

GW & WADE ASSET MANAGEMENT COMPANY, LLC

GW & WADE, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

STONEHEARTH CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2015

Series 7TO

Date: 6/26/2024

SIE

Date: 10/1/2018

Series 7

Date: 1/8/2015

Series 24

Date: 6/26/2024

Current Firm

STONEHEARTH CAPITAL MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEHEARTH CAPITAL MANAGEMENT

TRUST BUT VERIFY

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