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.
Feed of 09/14/2026
Also filed as Shana Rose Esposito
At current firm
4 y
since Sep 23, 2021
In the industry
18 y
since Nov 8, 2007 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Sep 23, 2021 · El Segundo, Ca
- MML Investors Services, LLC BD affiliatedNov 18, 2020 to Sep 15, 2021 · Manhattan Beach, Ca
- Azzad Asset Management, Inc. independent RIAOct 13, 2017 to Feb 25, 2019 · Falls Church, Va
- Morgan Stanley wirehouseOct 2, 2012 to Nov 5, 2015 · Mclean, Va
- Planning Solutions Group, LLC formerMay 18, 2012 to Sep 25, 2012 · Fulton, Md
- Morgan Stanley wirehouseMay 25, 2011 to Jun 10, 2011 · Scottsdale, Az
- Resource Horizons Investment Advisory, Inc. formerJan 25, 2010 to Apr 22, 2010 · Scottsdale, Az
- 1st Global Advisors Inc formerMar 11, 2008 to Jan 21, 2010 · Phoenix, Az
- Edward Jones national BDNov 27, 2007 to Dec 20, 2007 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to Morgan Stanleyleft Sep 15, 2021, registered Sep 23, 2021 (8 days) · Affiliated broker-dealer or bank to wirehouse
- Azzad Asset Management, Inc. to MML Investors Services, LLCleft Feb 25, 2019, registered Nov 18, 2020 (632 days) · RIA to affiliated broker-dealer or bank
- Morgan Stanley to Azzad Asset Management, Inc.left Nov 5, 2015, registered Oct 13, 2017 (708 days) · Other
- Planning Solutions Group, LLC to Morgan Stanleyleft Sep 25, 2012, registered Oct 2, 2012 (7 days) · Other
- Morgan Stanley to Planning Solutions Group, LLCleft Jun 10, 2011, registered May 18, 2012 (343 days) · Other
- Resource Horizons Investment Advisory, Inc. to Morgan Stanleyleft Apr 22, 2010, registered May 25, 2011 (398 days) · Other
- 1st Global Advisors Inc to Resource Horizons Investment Advisory, Inc.left Jan 21, 2010, registered Jan 25, 2010 (4 days) · Other
- Edward Jones to 1st Global Advisors Incleft Dec 20, 2007, registered Mar 11, 2008 (82 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address