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

Louis David Esposito

United Planners' Financial Services Of America A Limited Partnerindependent RIAScottsdale, Az dual registrantIAPD 4970538

Feed of 09/14/2026

Also filed as Lee David Esposito

At current firm

0 y

since Jan 5, 2026

In the industry

21 y

since Aug 1, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

United Planners' Financial Services Of America A Limited Partner independent RIA current
since Jan 5, 2026 · Brick, Nj
LPL Financial LLC BD affiliated
Jul 10, 2025 to Jan 8, 2026 · Brick, Nj
Cadaret Grant & Co Inc former
May 18, 2023 to Jul 10, 2025 · Little Silver, Nj
Woodbury Financial Services, Inc. former
Apr 8, 2010 to May 19, 2023 · Mendham, Nj
Hsbc Securities (USA) Inc. BD affiliated
Jun 16, 2008 to Nov 11, 2009 · Chatham, Nj
Citigroup Global Markets Inc. BD affiliated
Sep 12, 2005 to Jun 3, 2008 · New Brunswick, Nj

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to United Planners' Financial Services Of America A Limited Partner
left Jan 8, 2026, registered Jan 5, 2026 (-3 days) · Affiliated broker-dealer or bank to independent RIA
Cadaret Grant & Co Inc to LPL Financial LLC
left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
Woodbury Financial Services, Inc. to Cadaret Grant & Co Inc
left May 19, 2023, registered May 18, 2023 (-1 days) · Affiliated broker-dealer or bank to another
Hsbc Securities (USA) Inc. to Woodbury Financial Services, Inc.
left Nov 11, 2009, registered Apr 8, 2010 (148 days) · Other
Citigroup Global Markets Inc. to Hsbc Securities (USA) Inc.
left Jun 3, 2008, registered Jun 16, 2008 (13 days) · Other

Signals

Louis David Esposito left Lpl Financial Llc for United Planners' Financial Services Of America A Limited Partner (registered 2026-01-05)
Jan 8, 2026 · Advisor changed firm · fact
Louis David Esposito left Woodbury Financial Services, Inc. for Cadaret Grant & Co Inc (registered 2023-05-18)
May 19, 2023 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address