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

Brian Mccarthy

Esi Financial Advisorsindependent RIALatham, Ny dual registrantIAPD 4997015

Certified Financial Planner

Feed of 09/15/2026

Also filed as Brian David Mccarthy

At current firm

0 y

since Apr 30, 2026

In the industry

20 y

since Feb 14, 2006 (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

Esi Financial Advisors independent RIA current
since Apr 30, 2026 · Latham, Ny
Valic Financial Advisors, Inc. BD affiliated
Aug 21, 2025 to May 11, 2026 · Houston, Tx
Esi Financial Advisors independent RIA
Jan 22, 2024 to Aug 18, 2025 · Staten Island, Ny
Park Avenue Securities LLC BD affiliated
Jan 20, 2022 to Jan 31, 2024 · New York, Ny
Morgan Stanley wirehouse
Jun 1, 2009 to Sep 17, 2021 · Jersey City, Nj
Citigroup Global Markets Inc. BD affiliated
Aug 6, 2007 to Jun 1, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Valic Financial Advisors, Inc. to Esi Financial Advisors
left May 11, 2026, registered Apr 30, 2026 (-11 days) · Affiliated broker-dealer or bank to independent RIA
Esi Financial Advisors to Valic Financial Advisors, Inc.
left Aug 18, 2025, registered Aug 21, 2025 (3 days) · RIA to affiliated broker-dealer or bank
Park Avenue Securities LLC to Esi Financial Advisors
left Jan 31, 2024, registered Jan 22, 2024 (-9 days) · Affiliated broker-dealer or bank to independent RIA
Morgan Stanley to Park Avenue Securities LLC
left Sep 17, 2021, registered Jan 20, 2022 (125 days) · Wirehouse to affiliated broker-dealer or bank
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

Brian Mccarthy left Valic Financial Advisors, Inc. for Esi Financial Advisors (registered 2026-04-30)
May 11, 2026 · Advisor changed firm · fact
Brian Mccarthy left Esi Financial Advisors for Valic Financial Advisors, Inc. (registered 2025-08-21)
Aug 18, 2025 · Advisor changed firm · fact
Brian Mccarthy left Park Avenue Securities Llc for Esi Financial Advisors (registered 2024-01-22)
Jan 31, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address