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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

ESI FINANCIAL ADVISORS

EQUITY SERVICES, INC., CRD 265

MONTPELIER, VT

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:2d43b24b-ab0a-575f-8f07-a16a351a013b

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1,079
Dated events: 40
On other graphs: 0
Observed: Nov 22, 2011 to Jul 1, 2026
91 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=470.0
Regulatory AUM: $2.8BItem 5.F on the latest filing (2026-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $2.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 507
RAUM per advisor: $5.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 500
Advisory employees: 460
Offices: 257Schedule D 1.F, beyond the principal office
Accounts: 12,379
Individual clients: 8,856
High net worth clients: 3,041
SEC number: 801-41722
CRD: 265
Filings on the tape: 91
First filed: Nov 22, 2011
Latest filed: Jul 1, 2026
Organised: Corporation, VT
Website: equity-services.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 507

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BERT HENRY LIVINGSTON	n/a	BOCA RATON, FL \| JACKSONVILLE, FL	34	41	n/a	yes
DANIEL ALAN SOUD	n/a	BOCA RATON, FL \| JACKSONVILLE, FL	34	44	n/a	yes
MEREDITH TROTT AUGUSTONI	Chartered Financial Consultant	COLCHESTER, VT \| MORGAN, VT	30	50	n/a	yes
CHARLES VINCENT CREIGHTON	Chartered Financial Consultant	MEDIA, PA	29	44	n/a	yes
RICH W KELLY	n/a	PORTLAND, OR \| MONTPELIER, VT	29	41	n/a	yes
ALAN JEROME FISHMAN	Certified Financial Planner	MEDIA, PA \| ELKINS PARK, PA	27	34	n/a	yes
TODD FRANKLIN HEARP	n/a	ROANOKE, VA \| MONTPELIER, VT	27	37	n/a	yes
JOHN FRANKLIN VITT	Chartered Financial Consultant	CHICAGO, IL \| WILMETTI, IL	27	51	n/a	yes
DONALD RODGER BOISVERT	Chartered Financial Consultant	COLCHESTER, VT \| MANCHESTER, NH	27	42	n/a	yes
JOHN CHARLES MAFFE	n/a	BOCA RATON, FL \| GLASTONBURY, CT	27	31	n/a	yes
EDGAR PARSONS ROBERTS	Chartered Financial Consultant	WINSTON SALEM, NC \| CHARLOTTE, NC	26	42	n/a	yes
ALEXANDER SANDS SMITH	n/a	WINSTON SALEM, NC \| CHARLOTTE, NC	26	36	n/a	yes
MICHAEL ALLEN GOSS	n/a	OVERLAND PARK, KS \| MONTPELIER, VT	26	45	n/a	yes
JAMES RICK KIRBY	Chartered Financial Consultant	CHARLOTTE, NC \| WINSTON SALEM, NC	26	41	n/a	yes
STEVEN ALAN SIMON	Chartered Financial Consultant	BEVERLY HILLS, CA \| MONTPELIER, VT	25	35	n/a	yes
MICHAEL THOMAS STONE	Chartered Financial Consultant	CHICAGO, IL	25	40	n/a	yes
MATTHEW STANLEY LEMPA	Chartered Financial Consultant	MEDIA, PA	25	26	n/a	yes
ROBERT EUGENE THOMPSON	Chartered Financial Consultant	LINCOLN, NE \| MONTPELIER, VT	25	52	n/a	yes
GARY TUCKER GOSS	Chartered Financial Consultant	OVERLAND PARK, KS \| MONTPELIER, VT	25	51	n/a	yes
MARSHA LOUISE TELLESBO	n/a	BELLEVUE, WA \| IRVINE, CA	24	46	n/a	yes
SCOTT PATRICK MAITLAND	Certified Financial Planner\|Chartered Financial Consultant	MONTPELIER, VT \| KALISPELL, MT	24	33	n/a	yes
G. DAVID NOLAN	Chartered Financial Consultant	CHICAGO, IL	24	42	n/a	yes
THOMAS ALDEN BAILEY	n/a	GLASTONBURY, CT	24	26	n/a	yes
HANS J. ALLEN MANSETH	Certified Financial Planner	PORTLAND, OR \| MONTPELIER, VT	24	24	n/a	yes
MARTIN IRA TREHUB	n/a	GLASTONBURY, CT \| WATERFORD, CT	24	39	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ASSADI, MEHRAN	DIRECTOR & CHAIRMAN OF THE BOARD	Na	yes	02/2008	Jul 1, 2026	Jul 1, 2026
COTTON, ROBERT EARL	Director	Na	yes	06/2010	Jul 1, 2026	Jul 1, 2026
DAVID, ALEX MARCUS	PRESIDENT & CEO OFFICER AND TREASURER	Na	yes	12/2025	Jul 1, 2026	Jul 1, 2026
DUNNE, REBECCA NASSAR	Director	Na	yes	07/2022	Jul 1, 2026	Jul 1, 2026
FRAZEE, MATTHEW	Director	Na	yes	11/2020	Jul 1, 2026	Jul 1, 2026
NELSON, BRIAN WILBUR	VP, BUSINESS DEVELOPMENT	Na	yes	02/2026	Jul 1, 2026	Jul 1, 2026
NLV FINANCIAL CORPORATION	Shareholder	E	yes	12/2005	Jul 1, 2026	Jul 1, 2026
TEESE, GREGORY DWIGHT	SVP, OPERATIONS, COO	Na	yes	04/2019	Jul 1, 2026	Jul 1, 2026
AZARSHAHI, ATAOLLAH	PRESIDENT & CEO	Na	yes	08/2020	Sep 2, 2020	Dec 4, 2024
FRANKLIN, ROBERT	SVP, COMPLIANCE & CCO	Na	yes	09/2023	Oct 17, 2023	Dec 4, 2024
KEENAN, JOHN FRANCIS	SVP, BUSINESS DEVELOPMENT	Na	yes	05/2022	Mar 31, 2023	Dec 4, 2024
KUCINSKAS, ERIC KEITH	VP, FINOP & TREASURER	Na	yes	03/2022	Dec 3, 2014	Dec 4, 2024
NATIONAL LIFE HOLDING COMPANY	Shareholder	E	yes	01/1999	Nov 22, 2011	Dec 4, 2024
FOX, CARRIE ANN	VP, FINOP	Na	no	11/2025	Jul 1, 2026	Jul 1, 2026
MCKENNY, IAN ANDREW	VP, CHIEF COUNSEL & SECRETARY	Na	no	05/2007	Jul 1, 2026	Jul 1, 2026
PALMER, REBECCA	CHIEF INFORMATION SECURITY OFFICER	Na	no	03/2021	Jul 1, 2026	Jul 1, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NLG CAPITAL, INC.	n/a	Institutional manager	$47B	N	yes	n/a
CATAMOUNT REINSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
LIFE INSURANCE COMPANY OF THE SOUTHWEST	n/a	n/a	n/a	N	yes	n/a
LONGHORN REINSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
NATIONAL LIFE DISTRIBUTION, LLC	n/a	n/a	n/a	N	yes	n/a
NATIONAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Hauppauge	NY	United States	40	yes
Latham	NY	United States	37	yes
Chicago	IL	United States	36	yes
Media	Pa	United States	32	yes
RED BANK	Nj	United States	30	yes
Atlanta	Ga	United States	27	yes
CLIFTON PARK	NY	United States	27	yes
Colchester	Vt	United States	21	yes
Glastonbury	Ct	United States	16	yes
Timonium	Md	United States	14	yes
NEW YORK	NY	United States	14	yes
Columbus	Oh	United States	11	yes
Charlotte	Nc	United States	10	yes
Roanoke	Va	United States	10	yes
Southlake	TX	United States	9	yes
Jacksonville	FL	United States	7	yes
WINSTON-SALEM	Nc	United States	7	yes
Melville	NY	United States	7	yes
BOCA RATON	FL	United States	6	yes
Troy	Mi	United States	6	yes
Irvine	CA	United States	5	yes
Roseland	Nj	United States	5	yes
BEVERLY HILLS	CA	United States	2	yes
Pittsford	NY	United States	2	yes
Manchester	Nh	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$2.8B	$1.1B	500	460	257	n/a	n/a
2024	Jan 30, 2025	$2.1B	$637M	450	420	230	n/a	n/a
2023	Apr 1, 2024	$2.1B	$637M	450	420	230	n/a	n/a
2022	Mar 31, 2023	$1.9B	$527M	440	420	220	n/a	n/a
2021	Mar 31, 2022	$2.2B	$624M	440	420	177	n/a	n/a
2020	Mar 10, 2021	$1.8B	$262M	440	420	177	n/a	n/a
2019	Mar 30, 2020	$1.5B	$184M	420	400	220	n/a	n/a
2018	Mar 29, 2019	$1.3B	$151M	420	400	223	n/a	n/a
2017	Mar 30, 2018	$1.3B	$153M	400	380	208	n/a	n/a
2016	Mar 30, 2017	$1.1B	$76.0M	370	350	n/a	n/a	n/a
2015	Mar 30, 2016	$927M	$0	400	350	n/a	n/a	n/a
2014	Mar 31, 2015	$974M	$0	400	350	n/a	n/a	n/a
2013	Mar 21, 2014	$924M	$0	380	350	n/a	n/a	n/a
2012	Mar 28, 2013	$825M	$0	360	330	n/a	n/a	n/a
2011	Mar 30, 2012	$728M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
55	36	19	7.1%	9	10	0	158	121

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.8B	$2.1B	30.7%	$1.9B	14.2%	500	450	257	230

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Jun 25, 2026	Jun 26, 2026	LATHAM, NY	Team lift out	RIA to ibd	0.4%
LPL ENTERPRISE, LLC	2	Mar 3, 2026	Mar 3, 2026	LYNCHBURG, VA	Team lift out	RIA to ibd	0.4%
LPL FINANCIAL LLC	2	Feb 11, 2026	Feb 18, 2026	PROSPER, TX	Team lift out	RIA to ibd	0.4%
OSAIC WEALTH, INC.	3	Sep 18, 2025	Sep 18, 2025	HERKIMER, NY	Team lift out	RIA to ibd	0.7%
MML INVESTORS SERVICES, LLC	2	Aug 7, 2025	Aug 11, 2025	HAUPPAUGE, NY	Team lift out	RIA to ibd	0.4%
CETERA INVESTMENT ADVISERS LLC	4	Feb 18, 2025	Jan 29, 2025	LATHAM, NY	Team lift out	RIA to ibd	1.0%
OSAIC WEALTH, INC.	3	Sep 3, 2024	Aug 5, 2024	TROY, MI	Team lift out	RIA to ibd	0.7%
J.P. MORGAN SECURITIES LLC	2	Sep 14, 2023	Nov 2, 2023	HAUPPAUGE, NY	Team lift out	RIA to wirehouse	0.5%
EPG WEALTH MANAGEMENT LLC	2	Dec 31, 2022	Jan 10, 2023	SANDY SPRINGS, GA	Team lift out	Ibd to RIA	0.5%
PRINCIPAL SECURITIES, INC.	2	Aug 24, 2022	Sep 22, 2022	JERICHO, NY	Team lift out	Ibd to ibd	0.6%
PRUCO SECURITIES, LLC	2	Nov 4, 2021	Nov 10, 2021	RED BANK, NJ	Team lift out	Ibd to ibd	0.6%
BLUE POINT FINANCIAL, INC.	2	Jun 6, 2019	Jun 4, 2019	PORTLAND, ME	Team lift out	Ibd to RIA	0.9%
BROOKSTONE WEALTH ADVISORS, LLC	3	Aug 16, 2018	Aug 29, 2018	BERLIN, MD	Team lift out	Ibd to RIA	1.4%
AMERITAS ADVISORY SERVICES	2	Mar 10, 2016	May 11, 2016	SAN DIEGO, CA	Team lift out	Other	1.2%
STONE PINE FINANCIAL PARTNERS	2	May 7, 2015	May 1, 2015	MEDIA, PA	Team lift out	Other	1.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC	2	Jan 6, 2026	Feb 27, 2026	NEW HAVEN, CT	Team lift out	Other	0.9%
MML INVESTORS SERVICES, LLC	2	Jul 15, 2025	Aug 8, 2025	AMHERST, NY	Team lift out	Ibd to RIA	0.0%
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC	2	Jun 20, 2025	Jul 24, 2025	NEW HAVEN, CT	Team lift out	Other	1.1%
MML INVESTORS SERVICES, LLC	2	Jun 3, 2025	Jun 27, 2025	RALEIGH, NC	Team lift out	Ibd to RIA	0.0%
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC	3	Jul 18, 2024	Aug 21, 2024	RICHMOND, VA	Team lift out	Other	1.6%
PRUCO SECURITIES, LLC	2	Mar 8, 2023	Sep 13, 2023	NEW CASTLE, PA	Team lift out	Ibd to ibd	0.1%
MML INVESTORS SERVICES, LLC	2	Apr 2, 2019	Apr 4, 2019	TARRYTOWN, NY	Team lift out	Ibd to ibd	0.1%
TRUSTEE EMPOWERMENT & PROTECTION, INC.	2	Sep 4, 2018	Jun 22, 2021	ALBANY, NY	Team lift out	Other	8.3%
MML INVESTORS SERVICES, LLC	2	Aug 10, 2017	Aug 7, 2017	DE PERE, WI	Team lift out	Other	0.1%
MML INVESTORS SERVICES, LLC	2	Aug 9, 2017	Aug 25, 2017	ISELIN, NJ	Team lift out	Other	0.1%
AMERITAS ADVISORY SERVICES	3	Jul 24, 2017	Jul 12, 2017	IRVINE, CA	Team lift out	Other	1.8%
MSI FINANCIAL SERVICES, INC.	2	Aug 2, 2016	Aug 1, 2016	ROSELAND, NJ	Team lift out	Other	0.1%
ONEAMERICA SECURITIES, INC.	2	Nov 23, 2015	Nov 24, 2015	CRYSTAL LAKE, IL	Team lift out	Other	1.3%

Relationships

showing 80 of 1,079

Registered with (78)

← MATTHEW J OCONNORAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← JASON JOSE VALDEZAdvisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← MARK LOVOYAdvisorregistration: current employment
Aug 26, 2026 to presentfactForm ADV
← ALEXANDER J TAULIENAdvisorregistration: current employment
Aug 26, 2026 to presentfactForm ADV
← COLBEY JEROLD OLSONAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← PHILLIP MASON WILLIAMSAdvisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← BRENDAN THOMAS MCPEAKEAdvisorregistration: current employment
Aug 14, 2026 to presentfactForm ADV
← BRIAN LAZUSKYAdvisorregistration: current employment
Aug 7, 2026 to presentfactForm ADV
← GARTH DAVID GHERARDINIAdvisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← RYAN ROYAdvisorregistration: current employment
Jul 30, 2026 to presentfactForm ADV
← XINRUI WUAdvisorregistration: current employment
Jul 21, 2026 to presentfactForm ADV
← GABRIEL JOSEPH JEWULAAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← PHILLIP MICHAEL GAFFIGANAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← MATTHEW JAMES MCCABEAdvisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← JAMES WINOKURAdvisorregistration: current employment
Jul 6, 2026 to presentfactForm ADV
← VICTORIA K TERRAZZINOAdvisorregistration: current employment
Jul 1, 2026 to presentfactForm ADV
← SHAOJIN GUOAdvisorregistration: current employment
Jun 30, 2026 to presentfactForm ADV
← JOSEPH CHARLES TUZZOLOAdvisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← KA DEDRICK RICHARDSONAdvisorregistration: current employment
Jun 22, 2026 to presentfactForm ADV
← JOSEPH CHRISTIAN WARDELLAdvisorregistration: current employment
Jun 11, 2026 to presentfactForm ADV
← DALLAS BETTSAdvisorregistration: current employment
Jun 3, 2026 to presentfactForm ADV
← SEAN HANNEFIN LAWLESSAdvisorregistration: current employment
May 29, 2026 to presentfactForm ADV
← KARINA AVERY TARTEAdvisorregistration: current employment
May 26, 2026 to presentfactForm ADV
← JOSEPH BRENT MORLEYAdvisorregistration: current employment
May 18, 2026 to presentfactForm ADV
← JOHN LOUIS LOMBARDOAdvisorregistration: current employment
May 15, 2026 to presentfactForm ADV
← ALBERT BINMANAdvisorregistration: current employment
May 8, 2026 to presentfactForm ADV
← BRIAN MCCARTHYAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← JACOB RYAN AUTRYAdvisorregistration: current employment
Apr 20, 2026 to presentfactForm ADV
← EMANUEL THOMASONAdvisorregistration: current employment
Apr 10, 2026 to presentfactForm ADV
← MICHAEL KOGANAdvisorregistration: current employment
Apr 6, 2026 to presentfactForm ADV
and 48 more

Affiliated with (2)

→ NLG CAPITAL LLCRegistered adviserother investment adviser, common control
factForm ADV
← NLG CAPITAL LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 24, 2026
Advisor changed firm
Tira Lee Clement left Esi Financial Advisors for Cetera Investment Advisers Llc (registered 2026-08-20)
Form ADVobserved 6 days ago
Occurred
Aug 5, 2026
Advisor changed firm
Michael Anthony Ragusa left Esi Financial Advisors for Lpl Financial Llc (registered 2026-08-06)
Form ADVobserved 6 days ago
Occurred
Aug 3, 2026
Advisor changed firm
Courtney Allison Coombs left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-08-11)
Form ADVobserved 6 days ago
Occurred
Jul 28, 2026
Advisor changed firm
Michael Eric Dugan left Esi Financial Advisors for Vanguard Advisers, Inc. (registered 2026-09-09)
Form ADVobserved 6 days ago
Occurred
Jul 24, 2026
Advisor changed firm
Jeffrey Thomas Gue left Esi Financial Advisors for Raymond James Financial Services Advisors, Inc (registered 2026-07-24)
Form ADVobserved 6 days ago
Occurred
Jun 26, 2026
Advisor changed firm
Christopher John Lindsley left Esi Financial Advisors for Allstate Financial Advisors, Llc (registered 2026-07-10)
Form ADVobserved 6 days ago
Occurred
Jun 26, 2026
Advisor changed firm
Jessica Marie Istchenko left Esi Financial Advisors for Lpl Financial Llc (registered 2026-06-26)
Form ADVobserved 6 days ago
Occurred
Jun 25, 2026
Team lift-out
2 advisors left Esi Financial Advisors (Latham, NY) for LPL Financial LLC a day apart
Form ADVobserved 6 days ago
2 advisors
Occurred
Jun 25, 2026
Advisor changed firm
Steven Michael Cellen left Esi Financial Advisors for Lpl Financial Llc (registered 2026-06-24)
Form ADVobserved 6 days ago
Occurred
Jun 18, 2026
Advisor changed firm
Rodney Barnard Cooper left Esi Financial Advisors for R. Cooper Investments (registered 2026-06-22)
Form ADVobserved 6 days ago
Occurred
Jun 17, 2026
Advisor changed firm
Ryan Appelhans left Esi Financial Advisors for Park Avenue Securities Llc (registered 2026-08-25)
Form ADVobserved 6 days ago
Occurred
May 26, 2026
Advisor changed firm
Thomas Villalobos left Esi Financial Advisors for John Hancock Personal Financial Services, Llc (registered 2026-06-09)
Form ADVobserved 6 days ago
Occurred
May 18, 2026
Advisor changed firm
Christopher Todd Chilcoat left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-06-29)
Form ADVobserved 6 days ago
Occurred
May 14, 2026
Advisor changed firm
Rafael Menna Barreto Gregori left Esi Financial Advisors for Td Private Client Wealth Llc (registered 2026-05-13)
Form ADVobserved 6 days ago
Occurred
Apr 24, 2026
Advisor changed firm
Laura Beninato left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-05-14)
Form ADVobserved 6 days ago
Occurred
Apr 24, 2026
Advisor changed firm
Sadie Skadron left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-05-18)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2026
Advisor changed firm
Alana Kay Davis left Esi Financial Advisors for Prospera Financial Services, Inc. (registered 2026-03-27)
Form ADVobserved 6 days ago
Occurred
Mar 19, 2026
Advisor changed firm
Christopher Daniel Marino left Esi Financial Advisors for Tlg Advisors, Inc. (registered 2026-03-16)
Form ADVobserved 6 days ago
Occurred
Mar 5, 2026
Advisor changed firm
Charles Ashley Girling left Esi Financial Advisors for Vanguard Advisers, Inc. (registered 2026-04-17)
Form ADVobserved 6 days ago
Occurred
Mar 3, 2026
Team lift-out
2 advisors left Esi Financial Advisors (Lynchburg, VA) for LPL Enterprise, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 3, 2026
Advisor changed firm
Demond Lee Bolden left Esi Financial Advisors for Lpl Enterprise, Llc (registered 2026-03-02)
Form ADVobserved 6 days ago
Occurred
Mar 3, 2026
Advisor changed firm
Randall K Calloway left Esi Financial Advisors for Lpl Enterprise, Llc (registered 2026-03-03)
Form ADVobserved 6 days ago
Occurred
Feb 18, 2026
Advisor changed firm
Ryan Anthony Colatrella left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-02-23)
Form ADVobserved 6 days ago
Occurred
Feb 17, 2026
Advisor changed firm
Rodney Russell Kee left Esi Financial Advisors for Lpl Financial Llc (registered 2026-02-18)
Form ADVobserved 6 days ago
Occurred
Feb 13, 2026
Advisor changed firm
Brooks Lucien Benton Jewett left Esi Financial Advisors for Hanover Square Wealth Advisors Llc (registered 2026-04-02)
Form ADVobserved 6 days ago
Occurred
Feb 11, 2026
Team lift-out
2 advisors left Esi Financial Advisors (Prosper, TX) for LPL Financial LLC within 6 days
Form ADVobserved 6 days ago
2 advisors
Occurred
Feb 11, 2026
Advisor changed firm
Donald Allison left Esi Financial Advisors for Spc (registered 2026-03-02)
Form ADVobserved 6 days ago
Occurred
Feb 11, 2026
Advisor changed firm
David Clay Rouse left Esi Financial Advisors for Lpl Financial Llc (registered 2026-02-10)
Form ADVobserved 6 days ago
Occurred
Jan 13, 2026
Advisor changed firm
Paul Jacob Howland left Esi Financial Advisors for Civitas Financial Llc (registered 2026-02-10)
Form ADVobserved 6 days ago
Occurred
Jan 6, 2026
Team lift-out
2 advisors left Knights OF Columbus Asset Advisors LLC (New Haven, CT) for Esi Financial Advisors within 6 days
Form ADVobserved 4 days ago
2 advisors
Occurred
Dec 31, 2025
Advisor changed firm
Derrick Malcolm Wilson left Esi Financial Advisors for Edelman Financial Engines (registered 2026-04-13)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2025
Advisor changed firm
Mervin Edward Fatter left Esi Financial Advisors for Lpl Financial Llc (registered 2026-01-27)
Form ADVobserved 6 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Robert F Butler left Esi Financial Advisors for Lpl Financial Llc (registered 2025-12-08)
Form ADVobserved 6 days ago
Occurred
Nov 12, 2025
Advisor changed firm
Andrew Gentiluomo left Esi Financial Advisors for Consolidated Portfolio Review Corp (registered 2025-12-23)
Form ADVobserved 6 days ago
Occurred
Sep 30, 2025
Advisor changed firm
Derek A Meka left Esi Financial Advisors for Osaic Wealth, Inc. (registered 2025-09-17)
Form ADVobserved 6 days ago
Occurred
Sep 26, 2025
Advisor changed firm
David Balkcom left Esi Financial Advisors for Mml Investors Services, Llc (registered 2025-10-02)
Form ADVobserved 6 days ago
Occurred
Sep 23, 2025
Advisor changed firm
Henry William Boettger left Esi Financial Advisors for Cetera Investment Advisers Llc (registered 2025-09-30)
Form ADVobserved 6 days ago
Occurred
Sep 22, 2025
Advisor changed firm
Jarrod Perry left Esi Financial Advisors for Osaic Wealth, Inc. (registered 2025-09-18)
Form ADVobserved 6 days ago
Occurred
Sep 18, 2025
Team lift-out
3 advisors left Esi Financial Advisors (Herkimer, NY) for Osaic Wealth, Inc. within 12 days
Form ADVobserved 6 days ago
3 advisors

Show 1 bookkeeping events

First seen by DFX
Sep 16, 2026
date not stated
Joseph Charles Tuzzolo no longer holds an investment adviser registration (last listed at Esi Financial Advisors on the 2026-09-15 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d43b24b-ab0a-575f-8f07-a16a351a013b
First observed: Nov 22, 2011
Last observed: Jul 1, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ESI FINANCIAL ADVISORS

EQUITY SERVICES, INC., CRD 265

MONTPELIER, VT

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:2d43b24b-ab0a-575f-8f07-a16a351a013b

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BERT HENRY LIVINGSTON

n/a

BOCA RATON, FL | JACKSONVILLE, FL

n/a

yes

DANIEL ALAN SOUD

n/a

BOCA RATON, FL | JACKSONVILLE, FL

n/a

yes

MEREDITH TROTT AUGUSTONI

Chartered Financial Consultant

COLCHESTER, VT | MORGAN, VT

n/a

yes

CHARLES VINCENT CREIGHTON

Chartered Financial Consultant

MEDIA, PA

n/a

yes

RICH W KELLY

n/a

PORTLAND, OR | MONTPELIER, VT

n/a

yes

ALAN JEROME FISHMAN

Certified Financial Planner

MEDIA, PA | ELKINS PARK, PA

n/a

yes

TODD FRANKLIN HEARP

n/a

ROANOKE, VA | MONTPELIER, VT

n/a

yes

JOHN FRANKLIN VITT

Chartered Financial Consultant

CHICAGO, IL | WILMETTI, IL

n/a

yes

DONALD RODGER BOISVERT

Chartered Financial Consultant

COLCHESTER, VT | MANCHESTER, NH

n/a

yes

JOHN CHARLES MAFFE

n/a

BOCA RATON, FL | GLASTONBURY, CT

n/a

yes

EDGAR PARSONS ROBERTS

Chartered Financial Consultant

WINSTON SALEM, NC | CHARLOTTE, NC

n/a

yes

ALEXANDER SANDS SMITH

n/a

WINSTON SALEM, NC | CHARLOTTE, NC

n/a

yes

MICHAEL ALLEN GOSS

n/a

OVERLAND PARK, KS | MONTPELIER, VT

n/a

yes

JAMES RICK KIRBY

Chartered Financial Consultant

CHARLOTTE, NC | WINSTON SALEM, NC

n/a

yes

STEVEN ALAN SIMON

Chartered Financial Consultant

BEVERLY HILLS, CA | MONTPELIER, VT

n/a

yes

MICHAEL THOMAS STONE

Chartered Financial Consultant

CHICAGO, IL

n/a

yes

MATTHEW STANLEY LEMPA

Chartered Financial Consultant

MEDIA, PA

n/a

yes

ROBERT EUGENE THOMPSON

Chartered Financial Consultant

LINCOLN, NE | MONTPELIER, VT

n/a

yes

GARY TUCKER GOSS

Chartered Financial Consultant

OVERLAND PARK, KS | MONTPELIER, VT

n/a

yes

MARSHA LOUISE TELLESBO

n/a

BELLEVUE, WA | IRVINE, CA

n/a

yes

SCOTT PATRICK MAITLAND

Certified Financial Planner|Chartered Financial Consultant

MONTPELIER, VT | KALISPELL, MT

n/a

yes

G. DAVID NOLAN

Chartered Financial Consultant

CHICAGO, IL

n/a

yes

THOMAS ALDEN BAILEY

n/a

GLASTONBURY, CT

n/a

yes

HANS J. ALLEN MANSETH

Certified Financial Planner

PORTLAND, OR | MONTPELIER, VT

n/a

yes

MARTIN IRA TREHUB

n/a

GLASTONBURY, CT | WATERFORD, CT

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASSADI, MEHRAN

DIRECTOR & CHAIRMAN OF THE BOARD

yes

02/2008

Jul 1, 2026

COTTON, ROBERT EARL

Director

yes

06/2010

Jul 1, 2026

DAVID, ALEX MARCUS

PRESIDENT & CEO OFFICER AND TREASURER

yes

12/2025

Jul 1, 2026

DUNNE, REBECCA NASSAR

Director

yes

07/2022

Jul 1, 2026

FRAZEE, MATTHEW

Director

yes

11/2020

Jul 1, 2026

NELSON, BRIAN WILBUR

VP, BUSINESS DEVELOPMENT

yes

02/2026

Jul 1, 2026

NLV FINANCIAL CORPORATION

Shareholder

yes

12/2005

Jul 1, 2026

TEESE, GREGORY DWIGHT

SVP, OPERATIONS, COO

yes

04/2019

Jul 1, 2026

AZARSHAHI, ATAOLLAH

PRESIDENT & CEO

yes

08/2020

Sep 2, 2020

Dec 4, 2024

FRANKLIN, ROBERT

SVP, COMPLIANCE & CCO

yes

09/2023

Oct 17, 2023

Dec 4, 2024

KEENAN, JOHN FRANCIS

SVP, BUSINESS DEVELOPMENT

yes

05/2022

Mar 31, 2023

Dec 4, 2024

KUCINSKAS, ERIC KEITH

VP, FINOP & TREASURER

yes

03/2022

Dec 3, 2014

Dec 4, 2024

NATIONAL LIFE HOLDING COMPANY

Shareholder

yes

01/1999

Nov 22, 2011

Dec 4, 2024

FOX, CARRIE ANN

VP, FINOP

11/2025

Jul 1, 2026

MCKENNY, IAN ANDREW

VP, CHIEF COUNSEL & SECRETARY

05/2007

Jul 1, 2026

PALMER, REBECCA

CHIEF INFORMATION SECURITY OFFICER

03/2021

Jul 1, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NLG CAPITAL, INC.

n/a

Institutional manager

$47B

yes

n/a

CATAMOUNT REINSURANCE COMPANY

n/a

yes

n/a

LIFE INSURANCE COMPANY OF THE SOUTHWEST

n/a

yes

n/a

LONGHORN REINSURANCE COMPANY

n/a

yes

n/a

NATIONAL LIFE DISTRIBUTION, LLC

n/a

yes

n/a

NATIONAL LIFE INSURANCE COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Hauppauge

United States

yes

Latham

United States

yes

Chicago

United States

yes

Media

United States

yes

RED BANK

United States

yes

Atlanta

United States

yes

CLIFTON PARK

United States

yes

Colchester

United States

yes

Glastonbury

United States

yes

Timonium

United States

yes

NEW YORK

United States

yes

Columbus

United States

yes

Charlotte

United States

yes

Roanoke

United States

yes

Southlake

United States

yes

Jacksonville

United States

yes

WINSTON-SALEM

United States

yes

Melville

United States

yes

BOCA RATON

United States

yes

Troy

United States

yes

Irvine

United States

yes

Roseland

United States

yes

BEVERLY HILLS

United States

yes

Pittsford

United States

yes

Manchester

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$2.8B

$1.1B

500

460

257

n/a

2024

Jan 30, 2025

$2.1B

$637M

450

420

230

n/a

2023

Apr 1, 2024

$2.1B

$637M

450

420

230

n/a

2022

Mar 31, 2023

$1.9B

$527M

440

420

220

n/a

2021

Mar 31, 2022

$2.2B

$624M

440

420

177

n/a

2020

Mar 10, 2021

$1.8B

$262M

440

420

177

n/a

2019

Mar 30, 2020

$1.5B

$184M

420

400

220

n/a

2018

Mar 29, 2019

$1.3B

$151M

420

400

223

n/a

2017

Mar 30, 2018

$1.3B

$153M

400

380

208

n/a

2016

Mar 30, 2017

$1.1B

$76.0M

370

350

n/a

2015

Mar 30, 2016

$927M

400

350

n/a

2014

Mar 31, 2015

$974M

400

350

n/a

2013

Mar 21, 2014

$924M

380

350

n/a

2012

Mar 28, 2013

$825M

360

330

n/a

2011

Mar 30, 2012

$728M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

7.1%

158

121

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.8B

$2.1B

30.7%

$1.9B

14.2%

500

450

257

230

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jun 25, 2026

Jun 26, 2026

LATHAM, NY

Team lift out

RIA to ibd

0.4%

LPL ENTERPRISE, LLC

Mar 3, 2026

LYNCHBURG, VA

Team lift out

RIA to ibd

0.4%

LPL FINANCIAL LLC

Feb 11, 2026

Feb 18, 2026

PROSPER, TX

Team lift out

RIA to ibd

0.4%

OSAIC WEALTH, INC.

Sep 18, 2025

HERKIMER, NY

Team lift out

RIA to ibd

0.7%

MML INVESTORS SERVICES, LLC

Aug 7, 2025

Aug 11, 2025

HAUPPAUGE, NY

Team lift out

RIA to ibd

0.4%

CETERA INVESTMENT ADVISERS LLC

Feb 18, 2025

Jan 29, 2025

LATHAM, NY

Team lift out

RIA to ibd

1.0%

OSAIC WEALTH, INC.

Sep 3, 2024

Aug 5, 2024

TROY, MI

Team lift out

RIA to ibd

0.7%

J.P. MORGAN SECURITIES LLC

Sep 14, 2023

Nov 2, 2023

HAUPPAUGE, NY

Team lift out

RIA to wirehouse

0.5%

EPG WEALTH MANAGEMENT LLC

Dec 31, 2022

Jan 10, 2023

SANDY SPRINGS, GA

Team lift out

Ibd to RIA

0.5%

PRINCIPAL SECURITIES, INC.

Aug 24, 2022

Sep 22, 2022

JERICHO, NY

Team lift out

Ibd to ibd

0.6%

PRUCO SECURITIES, LLC

Nov 4, 2021

Nov 10, 2021

RED BANK, NJ

Team lift out

Ibd to ibd

0.6%

BLUE POINT FINANCIAL, INC.

Jun 6, 2019

Jun 4, 2019

PORTLAND, ME

Team lift out

Ibd to RIA

0.9%

BROOKSTONE WEALTH ADVISORS, LLC

Aug 16, 2018

Aug 29, 2018

BERLIN, MD

Team lift out

Ibd to RIA

1.4%

AMERITAS ADVISORY SERVICES

Mar 10, 2016

May 11, 2016

SAN DIEGO, CA

Team lift out

Other

1.2%

STONE PINE FINANCIAL PARTNERS

May 7, 2015

May 1, 2015

MEDIA, PA

Team lift out

Other

1.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Jan 6, 2026

Feb 27, 2026

NEW HAVEN, CT

Team lift out

Other

0.9%

MML INVESTORS SERVICES, LLC

Jul 15, 2025

Aug 8, 2025

AMHERST, NY

Team lift out

Ibd to RIA

0.0%

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Jun 20, 2025

Jul 24, 2025

NEW HAVEN, CT

Team lift out

Other

1.1%

MML INVESTORS SERVICES, LLC

Jun 3, 2025

Jun 27, 2025

RALEIGH, NC

Team lift out

Ibd to RIA

0.0%

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Jul 18, 2024

Aug 21, 2024

RICHMOND, VA

Team lift out

Other

1.6%

PRUCO SECURITIES, LLC

Mar 8, 2023

Sep 13, 2023

NEW CASTLE, PA

Team lift out

Ibd to ibd

0.1%

MML INVESTORS SERVICES, LLC

Apr 2, 2019

Apr 4, 2019

TARRYTOWN, NY

Team lift out

Ibd to ibd

0.1%

TRUSTEE EMPOWERMENT & PROTECTION, INC.

Sep 4, 2018

Jun 22, 2021

ALBANY, NY

Team lift out

Other

8.3%

MML INVESTORS SERVICES, LLC

Aug 10, 2017

Aug 7, 2017

DE PERE, WI

Team lift out

Other

0.1%

MML INVESTORS SERVICES, LLC

Aug 9, 2017

Aug 25, 2017

ISELIN, NJ

Team lift out

Other

0.1%

AMERITAS ADVISORY SERVICES

Jul 24, 2017

Jul 12, 2017

IRVINE, CA

Team lift out

Other

1.8%

MSI FINANCIAL SERVICES, INC.

Aug 2, 2016

Aug 1, 2016

ROSELAND, NJ

Team lift out

Other

0.1%

ONEAMERICA SECURITIES, INC.

Nov 23, 2015

Nov 24, 2015

CRYSTAL LAKE, IL

Team lift out

Other

1.3%