DFX Intelligence

Data Factory

RIA / WealthAdvisor32 years in industry

THOMAS ANTHONY ESPOSITO

Advisor at FIVE POINTS INVESTMENT ADVISORS, LLC

SARASOTA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:017d5768-dc6a-8006-a67a-b146cc7faefa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIVE POINTS INVESTMENT ADVISORS, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 29, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 29, 1994
First registration: Jan 2, 2002
Dual registered: no
IAPD individual key: 2458783

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIVE POINTS INVESTMENT ADVISORS, LLC	State registered	Dec 8, 2025	n/a	yes	SARASOTA, FL	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Dec 20, 2010	Nov 13, 2017	no	BRADENTON, FL\|SARASOTA, FL\|PHOENIX, AZ\|SARASOTA, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 24, 2008	Oct 28, 2010	no	CLEARWATER, FL\|GULFPORT, FL\|NAPLES, FL\|SARASOTA, FL\|SARASOTA, FL\|TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|TAMPA, FL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 26, 2004	Sep 16, 2008	no	SARASOTA, FL\|SARASOTA, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 8, 2002	Apr 30, 2004	no	SARASOTA, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 2, 2002	Jul 8, 2002	no	SARASOTA, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	FIVE POINTS INVESTMENT ADVISORS, LLC	Nov 13, 2017	Dec 8, 2025	2,947	Firm change after gap	Other
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 28, 2010	Dec 20, 2010	53	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Sep 16, 2008	Sep 24, 2008	8	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Apr 30, 2004	Apr 26, 2004	-4	Firm change	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Jul 8, 2002	Jul 8, 2002	0	Firm change	Other

Relationships

Registered with (6)

→ FIVE POINTS INVESTMENT ADVISORS, LLCRegistered adviserregistration: current employment
Dec 8, 2025 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Dec 20, 2010 to Nov 13, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 24, 2008 to Oct 28, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 26, 2004 to Sep 16, 2008factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 8, 2002 to Apr 30, 2004factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 2, 2002 to Jul 8, 2002factForm ADV

Dated events

No dated event names this entity yet.