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

Tim Brooks Sampson

Esi Financial Advisorsindependent RIADallas, Tx dual registrantIAPD 2296810

Feed of 09/15/2026

Also filed as Timothy Brooks Sampson

At current firm

5 y

since Mar 8, 2021

In the industry

33 y

since Nov 11, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Mar 8, 2021 · Dallas, Tx
Kovack Advisors, Inc. BD affiliated
Oct 29, 2014 to Mar 5, 2021 · Dallas, Tx
Resource Horizons Investment Advisory, Inc. former
Nov 23, 2009 to Dec 31, 2014 · Desoto, Tx
Cullum & Burks Securities, Inc. unclassified
Apr 10, 2007 to Nov 24, 2009 · Houston, Tx
United Securities Alliance, Inc. unclassified
Feb 4, 2003 to Aug 25, 2003 · Desoto, Tx

Moves

a registration end followed by a registration begin elsewhere

Kovack Advisors, Inc. to Esi Financial Advisors
left Mar 5, 2021, registered Mar 8, 2021 (3 days) · Affiliated broker-dealer or bank to another
Resource Horizons Investment Advisory, Inc. to Kovack Advisors, Inc.
left Dec 31, 2014, registered Oct 29, 2014 (-63 days) · corporate re-registration, not a move
Cullum & Burks Securities, Inc. to Resource Horizons Investment Advisory, Inc.
left Nov 24, 2009, registered Nov 23, 2009 (-1 days) · Other
United Securities Alliance, Inc. to Cullum & Burks Securities, Inc.
left Aug 25, 2003, registered Apr 10, 2007 (1324 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: Independent wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address