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

Mark Essenfeld

Soltis Investment Advisors, LLCindependent RIAOswego, Il IA-onlyIAPD 4572427

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jul 8, 2024

In the industry

24 y

since Aug 13, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Soltis Investment Advisors, LLC independent RIA current
since Jul 8, 2024 · Oswego, Il
Hub Investment Partners, LLC independent RIA
Jan 6, 2022 to Jul 22, 2024 · Oswego, Il
Hub Investment Partners, LLC independent RIA
Nov 16, 2020 to Dec 31, 2021 · Oswego, Il
MML Investors Services, LLC BD affiliated
Mar 25, 2017 to Sep 21, 2018 · Lisle, Il
Msi Financial Services, Inc. former
Jan 22, 2016 to Mar 25, 2017 · Downers Grove, Il
LPL Financial LLC BD affiliated
Apr 30, 2013 to Dec 14, 2015 · Sandwich, Il
Cetera Investment Services LLC former
Oct 15, 2010 to Apr 30, 2013 · Aurora, Il
Ameriprise Financial Services, LLC national BD
May 1, 2009 to Oct 12, 2010 · Chicago, Il
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to May 4, 2009 · Lisle, Il
Morgan Stanley Dw Inc. unclassified
Aug 7, 2003 to Apr 2, 2007 · Lisle, Il

Moves

a registration end followed by a registration begin elsewhere

Hub Investment Partners, LLC to Soltis Investment Advisors, LLC
left Jul 22, 2024, registered Jul 8, 2024 (-14 days) · RIA to RIA
MML Investors Services, LLC to Hub Investment Partners, LLC
left Sep 21, 2018, registered Nov 16, 2020 (787 days) · Other
Msi Financial Services, Inc. to MML Investors Services, LLC
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
LPL Financial LLC to Msi Financial Services, Inc.
left Dec 14, 2015, registered Jan 22, 2016 (39 days) · Other
Cetera Investment Services LLC to LPL Financial LLC
left Apr 30, 2013, registered Apr 30, 2013 (0 days) · Other
Ameriprise Financial Services, LLC to Cetera Investment Services LLC
left Oct 12, 2010, registered Oct 15, 2010 (3 days) · Other
Morgan Stanley & Co. LLC to Ameriprise Financial Services, LLC
left May 4, 2009, registered May 1, 2009 (-3 days) · Other
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

Mark Essenfeld left Hub Investment Partners, Llc for Soltis Investment Advisors, Llc (registered 2024-07-08)
Jul 22, 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address