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

James Norman Riley

Esi Financial Advisorsindependent RIAHauppauge, Ny dual registrantIAPD 1857635

Feed of 09/15/2026

Also filed as James Norman Riley

At current firm

0 y

since Nov 18, 2025

In the industry

26 y

since Aug 4, 2000 (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

Esi Financial Advisors independent RIA current
since Nov 18, 2025 · Hauppauge, Ny
Equitable Advisors, LLC national BD
Jul 28, 2022 to May 24, 2023 · New York, Ny
Pruco Securities, LLC no RAUM
Apr 27, 2021 to Mar 10, 2022 · Basking Ridge, Nj
Oneamerica Securities, Inc. BD affiliated
Feb 1, 2018 to May 14, 2021 · Parsippany, Nj
Esi Financial Advisors independent RIA
Apr 2, 2015 to Jan 30, 2018 · Roseland, Nj
Lantern Wealth Advisors, LLC independent RIA
Feb 18, 2015 to Apr 1, 2015 · Hoboken, Nj
Oppenheimer & Co. Inc. BD affiliated
Mar 5, 2013 to Mar 4, 2015 · Florham Park, Nj
Seelaus Asset Management, LLC other
Jan 30, 2013 to Mar 12, 2013 · Chatham, Nj
R. Seelaus & Co., Inc. former
Aug 31, 2009 to Mar 12, 2013 · Chatham, Nj
Td Ameritrade Investment Management, LLC former
Jan 16, 2008 to Jun 23, 2009 · Short Hills, Nj
Td Ameritrade, Inc. former
Jan 16, 2008 to Jun 23, 2009 · Short Hills, Nj
Western International Securities former
Nov 8, 2006 to Jan 15, 2008 · Islandia, Ny
A. G. Edwards & Sons, Inc. unclassified
Aug 23, 2005 to Nov 7, 2006 · Short Hills, Nj
Morgan Stanley Dw Inc. unclassified
May 15, 2002 to Feb 12, 2003 · Fairfield, Nj

Moves

a registration end followed by a registration begin elsewhere

Equitable Advisors, LLC to Esi Financial Advisors
left May 24, 2023, registered Nov 18, 2025 (909 days) · Affiliated broker-dealer or bank to independent RIA
Pruco Securities, LLC to Equitable Advisors, LLC
left Mar 10, 2022, registered Jul 28, 2022 (140 days) · Affiliated broker-dealer or bank to another
Oneamerica Securities, Inc. to Pruco Securities, LLC
left May 14, 2021, registered Apr 27, 2021 (-17 days) · Affiliated broker-dealer or bank to another
Esi Financial Advisors to Oneamerica Securities, Inc.
left Jan 30, 2018, registered Feb 1, 2018 (2 days) · Other
Lantern Wealth Advisors, LLC to Esi Financial Advisors
left Apr 1, 2015, registered Apr 2, 2015 (1 days) · Other
Oppenheimer & Co. Inc. to Lantern Wealth Advisors, LLC
left Mar 4, 2015, registered Feb 18, 2015 (-14 days) · Other
R. Seelaus & Co., Inc. to Seelaus Asset Management, LLC
left Mar 12, 2013, registered Jan 30, 2013 (-41 days) · Other
Seelaus Asset Management, LLC to Oppenheimer & Co. Inc.
left Mar 12, 2013, registered Mar 5, 2013 (-7 days) · Other
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Jun 23, 2009, registered Jan 16, 2008 (-524 days) · channel change inside one enterprise, not a move
Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLC
left Jun 23, 2009, registered Jan 16, 2008 (-524 days) · Other
Western International Securities to Td Ameritrade, Inc.
left Jan 15, 2008, registered Jan 16, 2008 (1 days) · Other
A. G. Edwards & Sons, Inc. to Western International Securities
left Nov 7, 2006, registered Nov 8, 2006 (1 days) · Other
Morgan Stanley Dw Inc. to A. G. Edwards & Sons, Inc.
left Feb 12, 2003, registered Aug 23, 2005 (923 days) · Other

Signals

James Norman Riley left Equitable Advisors, Llc for Esi Financial Advisors (registered 2025-11-18)
May 24, 2023 · Advisor changed firm · fact
James Norman Riley left Pruco Securities, Llc for Equitable Advisors, Llc (registered 2022-07-28)
Mar 10, 2022 · 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address