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
Richard Joseph Abernathy
Feed of 09/14/2026
At current firm
2 y
since Aug 5, 2024
In the industry
27 y
since Sep 13, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Aug 5, 2024 · Troy, Mi
- Esi Financial Advisors independent RIASep 9, 2019 to Sep 3, 2024 · Troy, Mi
- Trustee Empowerment & Protection, Inc. institutionalJun 29, 2010 to Sep 4, 2018 · Troy, Mi
- Ameriprise Financial Services, LLC national BDOct 5, 2009 to Nov 9, 2009 · Minneapolis, Mn
- Ameriprise Advisor Services, Inc. unclassifiedAug 11, 2008 to Oct 5, 2009 · Detroit, Mi
Moves
a registration end followed by a registration begin elsewhere
- Esi Financial Advisors to Osaic Wealth, Inc.left Sep 3, 2024, registered Aug 5, 2024 (-29 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Trustee Empowerment & Protection, Inc. to Esi Financial Advisorsleft Sep 4, 2018, registered Sep 9, 2019 (370 days) · Other
- Ameriprise Financial Services, LLC to Trustee Empowerment & Protection, Inc.left Nov 9, 2009, registered Jun 29, 2010 (232 days) · Other
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
Signals
- Richard Joseph Abernathy left Esi Financial Advisors for Osaic Wealth, Inc. (registered 2024-08-05)Sep 3, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address